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.

• Nicholas Charles Laking

  IRN NCL01011

  • CF30 Customer (20 Mar 2013 to 11 Nov 2014)
• Nicholas Francis Vojislav Stamenkovic

  IRN NFS01013

  • CF30 Customer (1 Nov 2007 to 15 Sep 2016)
  • CF21 Investment Adviser (31 Oct 2003 to 31 Oct 2007)
• Paul George Lomas

  IRN PGL01014

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Proprietary trader (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (25 Jun 2003 to 31 Oct 2007)
• Peter Nicholas Stamas

  IRN PNS01051

  • CF21 Investment Adviser (21 Feb 2006 to 4 Oct 2006)
• Polly Victoria Ormond

  IRN PXO01054

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2021)
  • [FCA CF] Proprietary trader (9 Dec 2019 to 2 Mar 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 2 Mar 2026)
  • CF30 Customer (27 Sep 2018 to 8 Dec 2019)
• Rebecca Motta

  IRN RXM01896

  • CF30 Customer (8 Mar 2010 to 17 Mar 2010)
• Rene Patrick Doebeli

  IRN RPD01018

  • [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 (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (27 Jan 2005 to 31 Oct 2007)
• Richard Bowden Ayers

  IRN RXA01164

  • [FCA CF] Proprietary trader (22 Jul 2020 to 6 May 2022)
  • [FCA CF] Material risk taker (22 Jul 2020 to 31 Dec 2021)
  • [FCA CF] Client dealing (22 Jul 2020 to 6 May 2022)
• Robert Peter Douglas Miller

  IRN RPD01028

  • CF2 Non Executive Director (4 Feb 2003 to 29 Apr 2009)
• Ross McKenzie

  IRN RXM01942

  • [FCA CF] Proprietary trader (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (18 Feb 2008 to 8 Dec 2019)

No changes recorded yet.