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.

• Jose De Yermo

  IRN JXD01281

  • [FCA CF] Client dealing (since 11 Jan 2021)
  • [FCA CF] Proprietary trader (since 11 Jan 2021)
  • [FCA CF] Material risk taker (11 Jan 2021 to 31 Dec 2021)
• Kevin Paul Thompson

  IRN KPT01012

  • CF30 Customer (8 Mar 2011 to 9 May 2011)
• Kevin Stewart Collie

  IRN KSC01023

  • CF30 Customer (1 Nov 2007 to 4 Apr 2014)
  • CF21 Investment Adviser (21 Nov 2005 to 31 Oct 2007)
• Konstantinos Nector Panayides

  IRN KNP01011

  • CF30 Customer (19 Jan 2012 to 22 Jan 2014)
• Lorna Tracey Hay Smith

  IRN LTH01012

  • [FCA CF] Material risk taker (since 1 Jan 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF1 Director (19 Jul 2010 to 8 Dec 2019)
  • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (9 Mar 2004 to 8 Dec 2019)
  • CF10 Compliance Oversight (9 Mar 2004 to 8 Dec 2019)
  • CF13 Finance (9 Mar 2004 to 31 Oct 2007)
• Luke Samuel Nathen Hickmore

  IRN LSH01011

  • CF21 Investment Adviser (29 Nov 2004 to 3 Sep 2007)
• Mark Christopher Breslin

  IRN MCB01101

  • CF30 Customer (13 Oct 2010 to 15 Apr 2015)
• Matthew Parkes

  IRN MXP01941

  • CF30 Customer (9 Mar 2011 to 19 Jul 2013)
• Mehul Sudhir Sheth

  IRN MSS01155

  • CF30 Customer (5 Aug 2015 to 2 Mar 2016)
• Michael Warren Balfour

  IRN MWB01046

  • CF2 Non Executive Director (4 Feb 2003 to 25 Aug 2004)

No changes recorded yet.