GAMCO Asset Management (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, Debenture, Government and public security, 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)" 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

  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, Debenture, Government and public security, 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, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations Hide limitations

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

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations Hide limitations

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

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, 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.

• Private Investment Funds

• Manages Your Portfolio

  For Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations Hide limitations

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

• Adil Carlos Al Assir Fernandez-Longoria

  IRN AXA00966

  • [FCA CF] Client dealing (3 Nov 2023 to 31 May 2024)
• Alberto Matuozzo

  IRN AXM01533

  • CF30 Customer (3 May 2016 to 18 Sep 2017)
• Anthony Woodson

  IRN AHW01024

  • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Oct 2004)
  • CF3 Chief Executive (1 Dec 2001 to 1 Oct 2004)
  • CF27 Investment Management (1 Dec 2001 to 9 Oct 2004)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Oct 2004)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Oct 2004)
  • CF1 Director (1 Dec 2001 to 1 Oct 2004)
• Ashish Sinha

  IRN AXS02341

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2012 to 8 Dec 2019)
• Bianca Erika Belluigi

  IRN BEB01041

  • CF30 Customer (6 May 2016 to 9 Jun 2017)
• David Marc Goldman

  IRN DMG01151

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF1 Director (5 May 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 (1 Dec 2001 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)
  • CF11 Money Laundering Reporting (30 Jun 2015 to 2 Aug 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF3 Chief Executive (8 Oct 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (8 Oct 2004 to 31 Oct 2007)
  • CF10 Compliance Oversight (8 Oct 2004 to 6 Jan 2015)
  • CF1 Director (8 Oct 2004 to 8 Dec 2019)
  • CF27 Investment Management (11 Apr 2003 to 31 Oct 2007)
• Gordon David Grender

  IRN GDG01016

  • [FCA CF] Client dealing (31 Mar 2021 to 31 Jan 2023)
• 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 (8 Jul 2019 to 8 Dec 2019)
  • CF30 Customer (22 Sep 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (8 Apr 2015 to 30 Jun 2015)

No changes recorded yet.