RIA Capital Markets Limited

• Principal Place of Business

  Ria Capital Markets Ltd

  91 George Street

  Edinburgh

  Edinburgh, City Of

  EH2 3ES

  UNITED KINGDOM

  Phone

  +441312223200

  Web

  https://www.ria.co.uk

• Complaints Contact

  Ria Capital Markets Ltd

  91 George Street

  Edinburgh

  Edinburgh, City Of

  EH2 3ES

  UNITED KINGDOM

  Phone

  +441312223200

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share, 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, 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), Share, 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, 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), Share, 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, 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), Share, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, 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), Share, 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, 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), Share, 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.

• Alan John Hayes

  IRN AJH01271

  • CF2 Non Executive Director (15 May 2009 to 30 Jul 2009)
• Alan Robert Moutrie

  IRN ARM01097

  • CF21 Investment Adviser (30 Sep 2005 to 4 Oct 2006)
• Alexander Untersperger

  IRN AXU01077

  • CF30 Customer (7 Feb 2011 to 5 Feb 2013)
• Alexis King

  IRN AXK01693

  • CF30 Customer (6 May 2008 to 24 Jun 2011)
• Alison Cummins

  IRN AXW01252

  • [FCA CF] Proprietary trader (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2021)
  • CF30 Customer (15 Nov 2018 to 8 Dec 2019)
• Alison Elizabeth Murdoch

  IRN AEM01049

  • CF30 Customer (5 Jan 2012 to 20 Feb 2012)
• Andrew Thomas Stephen Ralph

  IRN ATR01020

  • CF8 Apportionment and Oversight (4 Feb 2003 to 11 Nov 2004)
  • CF1 Director (4 Feb 2003 to 11 Nov 2004)
  • CF21 Investment Adviser (4 Feb 2003 to 11 Nov 2004)
  • CF3 Chief Executive (4 Feb 2003 to 11 Nov 2004)
• Caroline Louise McKee

  IRN CLM01036

  • CF30 Customer (11 Nov 2010 to 16 Mar 2011)
• Christopher Edgar Turnbull

  IRN CXT01108

  • CF30 Customer (29 Sep 2008 to 3 Mar 2009)
• Christopher Richard Phillips

  IRN CRP01034

  • CF2 Non Executive Director (17 May 2005 to 2 May 2012)

No changes recorded yet.