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

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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, 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.

• 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.

• Inderpal Singh Johal

  IRN ISJ01017

  • [FCA CF] Material risk taker (since 11 Jul 2025)
  • [FCA CF] Client dealing (since 9 Jun 2025)
• Iomar Patrick Barrett

  IRN IPB01026

  • [FCA CF] Client dealing (9 Dec 2019 to 11 Dec 2020)
  • [FCA CF] Material risk taker (9 Dec 2019 to 11 Dec 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 11 Dec 2020)
  • CF4 Partner (5 Jun 2019 to 9 Dec 2019)
  • CF30 Customer (10 Jan 2014 to 8 Dec 2019)
• Jaehyun Ahn

  IRN JXA10231

  • [FCA CF] Client dealing (since 16 Oct 2025)
• Jake Nicholas Moore

  IRN JNM01038

  • CF30 Customer (13 Jan 2010 to 31 Jan 2013)
• James Anthony Dawson

  IRN JAD01144

  • [FCA CF] Client dealing (since 15 Jan 2024)
• James Bowden

  IRN JXB00718

  • [FCA CF] Material risk taker (since 18 Aug 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Jul 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 21 Jul 2022)
• James David Malcolm

  IRN JDM01193

  • CF30 Customer (15 Jun 2015 to 22 Sep 2016)
• James Dirk Martyn Ter Haar

  IRN JDT01053

  • CF30 Customer (2 Dec 2009 to 11 May 2011)
• James Eugene Frieda

  IRN JEF01048

  • [FCA CF] Client dealing (11 Sep 2023 to 8 Sep 2024)
• James McKeever

  IRN JXM03271

  • [FCA CF] Significant management (9 Dec 2019 to 21 Jul 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 24 Jun 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Jul 2022)
  • CF4 Partner (17 Aug 2018 to 9 Dec 2019)
  • CF30 Customer (21 Mar 2016 to 8 Dec 2019)

No changes recorded yet.