GAM London Limited

• Principal Place of Business

  8 Finsbury Circus

  London

  EC2M 7GB

  UNITED KINGDOM

  Phone

  +4402074939990

  Web

  https://www.gam.com

• Complaints Contact

  8 Finsbury Circus

  London

  EC2M 7GB

  UNITED KINGDOM

  Phone

  +4402074939990

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), 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 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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, Retail (Investment), 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 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), 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 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), 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 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Joshua Horak

  IRN JXH03147

  • 17. Administrative functions in relation to managing investments
  • 14. Managing investments
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Feb 2025)
• Joshua Sambrook-Smith

  IRN JXS00480

  • [FCA CF] Client dealing (since 5 Dec 2025)
• Juan Antonio Landazabal

  IRN JAL01179

  • [FCA CF] Manager of certification employee (since 21 Feb 2023)
  • SMF3 Executive Director (10 Feb 2023 to 29 Mar 2023)
  • [FCA CF] Manager of certification employee (8 Feb 2021 to 20 Feb 2023)
  • CF30 Customer (19 Oct 2018 to 30 Nov 2018)
• Julian Michael Howard

  IRN JMH01166

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 8 Feb 2021)
  • [FCA CF] Functions requiring qualifications (since 8 Feb 2021)
  • [FCA CF] Manager of certification employee (8 Feb 2021 to 31 Jan 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (18 Jun 2007 to 31 Oct 2007)
• Katherine Roach

  IRN KXR00359

  • [FCA CF] Significant management (since 6 Sep 2024)
  • [FCA CF] Client dealing (since 6 Sep 2024)
  • [FCA CF] Manager of certification employee (since 6 Sep 2024)
• Keir Boley

  IRN KXB01192

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Keith Allen Guthrie

  IRN KAG01026

  • CF27 Investment Management (22 Jan 2002 to 26 Feb 2007)
• Kevin Andrew Kearns

  IRN KAK01019

  • CF30 Customer (3 Sep 2015 to 4 Dec 2017)
• Kim Danielle Blackman

  IRN KDB01019

  • CF27 Investment Management (1 Dec 2001 to 30 Jun 2005)
• Kishen Pattani

  IRN KXP00189

  • [FCA CF] Material risk taker (since 1 Feb 2023)
  • [FCA CF] Significant management (since 31 Mar 2021)

• Hyde Pacific Consulting Limited (no longer appointed)

  FRN 232525 · Appointed 30 Mar 2004 · Until 30 Oct 2007

No changes recorded yet.