Graham Capital LLP

• Principal Place of Business

  55 Baker St

  London

  W1U 8EW

  UNITED KINGDOM

  Phone

  +442078712100

• Complaints Contact

  55 Baker St

  London

  W1U 8EW

  UNITED KINGDOM

  Phone

  +12038993454

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Binary Bet, 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, Binary Bet, 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, Binary Bet, 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, Binary Bet, 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 Professional, Binary Bet, 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.

• Seamus Eoin O'Boyle

  IRN SEO01008

  • [FCA CF] Client dealing (since 9 Dec 2020)
• Simon Anthony Crooks

  IRN SAC01263

  • CF30 Customer (30 Apr 2012 to 30 Sep 2013)
  • CF4 Partner (30 Apr 2012 to 30 Sep 2013)
• Stefanos Kordas

  IRN SXK01194

  • CF4 Partner (24 Apr 2012 to 30 Sep 2016)
  • CF30 Customer (24 Apr 2012 to 30 Sep 2016)
• Stephen Anthony Apel Modelfino

  IRN SXM01367

  • [FCA CF] Client dealing (25 May 2023 to 27 Mar 2026)
• Stephen Drew

  IRN SXD01193

  • [FCA CF] Client dealing (10 Jan 2022 to 17 Nov 2023)
• Stephen James McGuinness

  IRN SJM01245

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (1 Aug 2016 to 8 Dec 2019)
  • CF4 Partner (21 Mar 2013 to 14 May 2019)
• Steven Chasan

  IRN SXC01668

  • CF4 Partner (18 May 2017 to 31 Dec 2018)
  • CF30 Customer (18 May 2017 to 31 Dec 2018)
• Thomas Edward Speight

  IRN TES01014

  • CF30 Customer (16 Dec 2016 to 28 Sep 2018)
  • CF4 Partner (16 Dec 2016 to 28 Sep 2018)
• Thomas Richard Allen Corns

  IRN TRC01042

  • CF4 Partner (9 Sep 2013 to 3 Oct 2014)
  • CF30 Customer (9 Sep 2013 to 3 Oct 2014)
• Timothy Sperry

  IRN TXS01663

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF10 Compliance Oversight (24 Apr 2012 to 8 Dec 2019)

No changes recorded yet.