Caxton Associates LLP

• Principal Place of Business

  20 Carlton House Terrace

  Floor 2

  London

  Westminster

  SW1Y 5AN

  UNITED KINGDOM

  Phone

  +442076470770

  Web

  https://www.caxton.com

• Complaints Contact

  Caxton Associates (USA) LLC

  280 Park Ave, 43rd Floor

  New York, NY 10017

  New York

  NY

  10017

  UNITED STATES OF AMERICA

  Phone

  +12123036578

• 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, Funeral plan contract, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Funeral plan contract, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Funeral plan contract, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• 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, Funeral plan contract, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Private Investment Funds

• Manages Your Portfolio

  For 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, Funeral plan contract, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Jamie Philip Douglas

  IRN JPD01072

  • [FCA CF] Material risk taker (since 11 Jul 2025)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Jul 2022)
  • CF30 Customer (17 Mar 2014 to 8 Dec 2019)
• Jan Smorczewski

  IRN JMS01175

  • CF30 Customer (4 Jan 2010 to 28 May 2014)
• Jason Robert Adams

  IRN JRA01099

  • CF30 Customer (16 Apr 2012 to 10 Jun 2015)
• Jean-Luc Alexandre

  IRN JXA01144

  • CF30 Customer (1 Oct 2014 to 23 Aug 2017)
• Jeremie Sylvain Paul Levy

  IRN JSL01124

  • [FCA CF] Material risk taker (2 Nov 2020 to 29 Oct 2021)
  • [FCA CF] Client dealing (2 Nov 2020 to 29 Oct 2021)
• Jianzhong Ren

  IRN JXR01893

  • CF30 Customer (27 Jun 2011 to 21 Apr 2016)
• Jonathan Barnett

  IRN JXB01435

  • CF4 Partner (26 Jan 2010 to 26 Oct 2010)
  • CF30 Customer (2 Dec 2009 to 26 Oct 2010)
• Jonathan Marc Conway

  IRN JMC01295

  • SMF27 Partner (since 21 Apr 2026)
  • [FCA CF] Material risk taker (since 11 Jul 2025)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Jul 2022)
  • CF30 Customer (4 Dec 2018 to 8 Dec 2019)
• Joseph Mouawad

  IRN JXM02465

  • CF30 Customer (13 May 2013 to 6 Jan 2015)
• Joshua Brodie

  IRN JXB03596

  • CF30 Customer (9 Jun 2017 to 9 Dec 2019)

No changes recorded yet.