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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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

  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.

• 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

  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.

• 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.

• Sergio Amiti

  IRN SXA01369

  • [FCA CF] Proprietary trader (since 11 Jan 2021)
  • [FCA CF] Client dealing (since 11 Jan 2021)
  • [FCA CF] Material risk taker (11 Jan 2021 to 31 Dec 2021)
  • CF1 Director (23 Aug 2010 to 30 Jan 2015)
  • CF30 Customer (25 May 2009 to 30 Jan 2015)
• Shaheedur Thomas Rahman

  IRN STR01028

  • CF30 Customer (14 Aug 2012 to 20 Mar 2014)
• Simon David Willett

  IRN SDW01051

  • CF21 Investment Adviser (23 Feb 2006 to 12 Jun 2006)
• Simon Rogers

  IRN SXR01199

  • CF21 Investment Adviser (22 Jun 2004 to 31 Mar 2005)
• Stuart Alastair Dempster

  IRN SAD01031

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Proprietary trader (since 9 Dec 2019)
  • CF3 Chief Executive (14 Jul 2014 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (7 Dec 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (4 Feb 2003 to 31 Oct 2007)
• Stuart Colin Thomson

  IRN SCT01030

  • CF10 Compliance Oversight (4 Feb 2003 to 14 Jul 2003)
  • CF11 Money Laundering Reporting (4 Feb 2003 to 14 Jul 2003)
  • CF1 Director (4 Feb 2003 to 14 Jul 2003)
  • CF21 Investment Adviser (4 Feb 2003 to 24 Jul 2003)
• Tammay Nguyen

  IRN TKN01004

  • CF30 Customer (27 Oct 2009 to 2 Aug 2010)
• Tamsin Duncan Ralph

  IRN TDR01013

  • CF2 Non Executive Director (2 Mar 2004 to 5 May 2005)
  • CF10 Compliance Oversight (22 Jul 2003 to 22 Jul 2003)
  • CF11 Money Laundering Reporting (22 Jul 2003 to 22 Jul 2003)
  • CF13 Finance (4 Feb 2003 to 4 Feb 2003)
  • CF1 Director (4 Feb 2003 to 2 Mar 2004)
• Terry Wright

  IRN TXW01103

  • CF21 Investment Adviser (7 Sep 2004 to 9 Jul 2007)
• Vincenzo Adriano Imondi

  IRN VAI01001

  • [FCA CF] Proprietary trader (2 Sep 2020 to 6 May 2022)
  • [FCA CF] Material risk taker (2 Sep 2020 to 31 Dec 2021)
  • [FCA CF] Client dealing (2 Sep 2020 to 6 May 2022)

No changes recorded yet.