Vantage Capital Markets LLP

• Principal Place of Business

  30 Crown Place

  Floor 11

  London

  EC2A 4EB

  UNITED KINGDOM

  Phone

  +4402039927645

  Web

  https://www.vcmllp.com

• Complaints Contact

  30 Crown Place

  Floor 11

  London

  EC2A 4EB

  UNITED KINGDOM

  Phone

  +4402045151298

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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, 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, 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, Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Share, 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, 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, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, 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, 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.
  • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis

• Investment Setup

  For Eligible Counterparty, Professional, 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, 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.

• Specialist Trading Venue

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

• Richard Tattam

  IRN RXT00358

  • [FCA CF] Material risk taker (9 Dec 2019 to 23 Sep 2022)
• Robert Bou-Simon

  IRN RXB01783

  • CF30 Customer (4 Feb 2014 to 20 Oct 2017)
• Robert James Barham

  IRN RJB01272

  • CF30 Customer (22 Jun 2009 to 21 Feb 2014)
• Robert Karl St John Hampel

  IRN RKH01027

  • [FCA CF] Client dealing (24 Mar 2021 to 15 Nov 2021)
  • SMF27 Partner (9 Dec 2019 to 23 Mar 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 23 Mar 2021)
  • CF3 Chief Executive (AR) (15 Jan 2016 to 23 Mar 2021)
  • CF1 Director (AR) (15 Jan 2016 to 23 Mar 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (29 Jul 2005 to 31 Oct 2007)
  • CF4 Partner (29 Jul 2005 to 8 Dec 2019)
• Robert William Joseph Frank Andersen

  IRN RWA01014

  • CF30 Customer (26 Feb 2019 to 3 May 2019)
• Robert William Nicholls

  IRN RWN01009

  • CF30 Customer (5 Oct 2012 to 11 Mar 2015)
• Roderick Joan Leonhard Wurfbain

  IRN RJW01152

  • SMF1 Chief Executive (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • CF1 Director (AR) (18 Dec 2015 to 10 Aug 2021)
  • CF4 Partner (29 Jul 2005 to 8 Dec 2019)
  • CF3 Chief Executive (29 Jul 2005 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (29 Jul 2005 to 1 Sep 2008)
  • CF8 Apportionment and Oversight (29 Jul 2005 to 31 Oct 2007)
• Roderick Seton Thomas Priestley

  IRN RSP01078

  • CF30 Customer (5 Aug 2010 to 31 Jul 2011)
• Roger Frampton

  IRN RXF00109

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jul 2020)
• Romain Tirail

  IRN RXT01562

  • CF30 Customer (14 May 2013 to 21 Nov 2013)

• Faro Securities Limited (no longer appointed)

  FRN 1004309 · Appointed 25 Nov 2023 · Until 25 Nov 2024 · Tied agent

• HELIX SECURITIES LLP (no longer appointed)

  FRN 924773 · Appointed 18 Mar 2022 · Until 19 Feb 2025 · Tied agent

• VCM International Limited (no longer appointed)

  FRN 712610 · Appointed 3 Aug 2015 · Until 1 Sep 2021

No changes recorded yet.