RIA Capital Markets Limited
aka RIA Capital Markets Limited
About
Ria is an independent securities broker providing an expert advisory and execution service to banks, wealth managers and institutional investors
Source: ria.co.ukContact & Location
Specialisms
Regulatory Information
- FRN
- 219706
- Status
- Authorised
- Date Authorised
- 4 February 2003
- Years Authorised
- 23 years
- Regulator
- FCA
- Disciplinary Record
- Clean Record
Show all permissions
- ✓Agreeing to carry on a regulated activity
- ✓Making arrangements with a view to transactions in investments
- ✓Dealing in investments as principal
- ✓Dealing in investments as agent
- ✓Arranging safeguarding and administration of assets
- ✓Arranging (bringing about) deals in investments
- ✓Advising on investments (except on Pension Transfers and Pension Opt Outs)
Companies House
- Company Number
- SC226461
- Company Status
- Active
- Incorporation Date
- 19 December 2001
- Directors
- 3
- Accounts Category
- Full
- Last Accounts Filed
- 31 December 2024
- SIC Codes
- 64999
Team (18)
Ian Matthew Korvin
ApprovedCertifiedLorna Tracey Hay Smith
ApprovedCertifiedStuart Alastair Dempster
ApprovedCertifiedSergio Amiti
CertifiedJose De Yermo
CertifiedAlison Cummins
CertifiedPaul George Lomas
CertifiedRene Patrick Doebeli
CertifiedRoss McKenzie
CertifiedJonathan MacNee Carswell
CertifiedMichael Warren Balfour
ApprovedGeorge Michael Renouf
ApprovedJames Robert Satterthwaite
ApprovedCertifiedMehul Sudhir Sheth
ApprovedCertifiedAndrew Thomas Stephen Ralph
ApprovedCertifiedDavid Christopher Coffey
ApprovedCertifiedMark Christopher Breslin
No longer requiredJames William Robson
ApprovedCertified
Quick Facts
- Edinburgh, Scotland
- 23 years FCA-authorised
- 20 registered individuals
- 3 specialisms
- 7 FCA permissions
- CH SC226461
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Data Sources
This listing is auto-generated from publicly available data on the FCA Financial Services Register and Companies House. approval.co.uk does not endorse or recommend this adviser or firm. Verify current authorisation status at register.fca.org.uk.