GABELLI SECURITIES INTERNATIONAL UK LIMITED

• Principal Place of Business

  3 St. James's Place

  London

  SW1A 1NP

  UNITED KINGDOM

  Phone

  +442032062100

• Complaints Contact

  3 St. James's Place

  London

  SW1A 1NP

  UNITED KINGDOM

  Phone

  +442032062100

• 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, Spread Bet, 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 (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Arranges Asset Safekeeping

  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, Spread Bet, 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, Spread Bet, 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.

• 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, Spread Bet, 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.

• Manages Your Portfolio

  For 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, Spread Bet, Unit, 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.

• Ashish Sinha

  IRN AXS02341

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (6 Nov 2012 to 8 Dec 2019)
• Camillo Schmidt-Chiari

  IRN CXS01980

  • CF30 Customer (17 Aug 2012 to 17 Feb 2016)
• David Lawrence Fitzgerald

  IRN DLF01042

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 31 May 2021)
  • CF1 Director (15 Jan 2016 to 22 Nov 2019)
• Douglas Richard Jamieson

  IRN DRJ01043

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (13 Sep 2011 to 8 Dec 2019)
• Evan Miller

  IRN EXM01246

  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF1 Director (13 Sep 2011 to 8 Dec 2019)
  • CF3 Chief Executive (13 Sep 2011 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (13 Sep 2011 to 3 Aug 2018)
  • CF10 Compliance Oversight (13 Sep 2011 to 3 Aug 2018)
  • CF30 Customer (13 Sep 2011 to 8 Dec 2019)
• Gustavo Adolfo Pifano

  IRN GAP01069

  • SMF1 Chief Executive (since 11 Aug 2022)
  • SMF3 Executive Director (since 11 Aug 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (1 Jul 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Jul 2019 to 8 Dec 2019)
  • CF30 Customer (22 Sep 2016 to 8 Dec 2019)
• Ian James McAdams

  IRN IXM00318

  • Director of firm who is not a certification employee or a SMF manager (since 17 Jun 2024)
• James Henry George Pollard

  IRN JHP01104

  • CF30 Customer (15 Jun 2016 to 31 Dec 2017)
• Jeffrey Mark Illustrato

  IRN JMI01030

  • CF30 Customer (13 Feb 2017 to 8 Dec 2019)
• Manjit Singh Kalha

  IRN MSK01116

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 30 May 2024)
  • CF2 Non Executive Director (8 Jul 2014 to 8 Dec 2019)

No changes recorded yet.