CAPSTONE INVESTMENT ADVISORS (UK), LLP

• Principal Place of Business

  UK House

  2nd Floor

  2 Great Titchfield Street

  London

  W1D 1NN

  UNITED KINGDOM

  Phone

  +442035149024

  Web

  https://www.capstoneco.com

• Complaints Contact

  UK House

  2nd Floor

  2 Great Titchfield Street

  London

  W1D 1NN

  UNITED KINGDOM

  Phone

  +442035149024

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Nicholas Bertocchi

  IRN NXB00284

  • [FCA CF] Client dealing (27 Sep 2023 to 31 Dec 2023)
• Nicholas Samuels

  IRN NJS01188

  • [FCA CF] Client dealing (4 Jan 2024 to 9 Feb 2024)
• Nora Baum

  IRN NXB01879

  • [FCA CF] Client dealing (22 Feb 2021 to 3 Mar 2022)
• Oliver Herbage

  IRN OXH00043

  • [FCA CF] Client dealing (since 27 Dec 2021)
• Ousmane Abdoulaye Diop

  IRN OAD01005

  • [FCA CF] Material risk taker (1 Dec 2025 to 17 Apr 2026)
  • [FCA CF] Client dealing (20 Nov 2020 to 17 Apr 2026)
• Paul Beck

  IRN PXB01852

  • CF11 Money Laundering Reporting (15 Sep 2008 to 2 Feb 2009)
  • CF10 Compliance Oversight (15 Sep 2008 to 2 Feb 2009)
  • CF29 Significant management (8 Apr 2008 to 2 Feb 2009)
• Paul Britton

  IRN PXB01795

  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF3 Chief Executive (1 Nov 2010 to 8 Dec 2019)
  • CF4 Partner (2 Jan 2008 to 21 Jul 2015)
• Paul Connaughton

  IRN PXC01980

  • [FCA CF] Client dealing (since 22 Jan 2025)
• Paul James Chambers

  IRN PJC01347

  • SMF27 Partner (since 17 Sep 2024)
  • [FCA CF] Material risk taker (11 Jan 2023 to 3 Jun 2024)
  • [FCA CF] Client dealing (11 Jan 2023 to 3 Jun 2024)
• Perettie Donald

  IRN PXD01554

  • CF30 Customer (2 Jan 2008 to 17 Oct 2008)

No changes recorded yet.