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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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.

• Kieran Clancy

  IRN KXC00398

  • [FCA CF] Client dealing (since 19 Apr 2024)
• Kieran Michael James Mahon

  IRN KMM01046

  • CF30 Customer (20 May 2011 to 27 Feb 2014)
  • CF4 Partner (20 May 2011 to 27 Feb 2014)
• Kieran Wood

  IRN KXW00365

  • [FCA CF] Client dealing (18 Aug 2023 to 6 Feb 2026)
• Kurt Billick

  IRN KXB01462

  • CF30 Customer (2 Dec 2009 to 30 Apr 2010)
• Louis Di Maria

  IRN LXD01598

  • [FCA CF] Material risk taker (since 11 Jul 2025)
  • [FCA CF] Client dealing (since 8 Sep 2023)
• Luke D'Cruz

  IRN LXD00418

  • [FCA CF] Client dealing (since 26 Mar 2025)
• Luke James Lynch

  IRN LJL01029

  • [FCA CF] Material risk taker (since 11 Jul 2025)
  • [FCA CF] Client dealing (since 21 Sep 2023)
• Luke James Parker

  IRN LJP01054

  • CF30 Customer (23 Jan 2013 to 14 Apr 2015)
• Lykomidis Mastroleon

  IRN LXM02014

  • [FCA CF] Client dealing (9 Dec 2019 to 22 Jun 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 22 Jun 2021)
• Marc Hassler

  IRN MXH00515

  • [FCA CF] Client dealing (1 May 2020 to 29 Jul 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Jul 2022)

No changes recorded yet.