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

  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

  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.

• James Henry George Pollard

  IRN JHP01104

  • CF30 Customer (25 May 2016 to 31 Dec 2017)
• Jeffrey Mark Farber

  IRN JMF01154

  • CF1 Director (23 Dec 2009 to 5 May 2011)
• Jeffrey Mark Illustrato

  IRN JMI01030

  • CF30 Customer (14 Apr 2015 to 8 Dec 2019)
• Joseph R Rindler Jr.

  IRN JRR01057

  • CF2 Non Executive Director (1 Dec 2001 to 31 Mar 2006)
• Joy Alphonsine Gardner

  IRN JAG01226

  • CF30 Customer (15 May 2015 to 8 Dec 2019)
  • CF21 Investment Adviser (20 Nov 2006 to 31 Oct 2007)
• Maja Pekala

  IRN MXP00982

  • [FCA CF] Client dealing (since 19 May 2025)
• Marc Joseph Gabelli

  IRN MJG01356

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 30 Jun 2022)
• Mario Michael Gabelli

  IRN MMG01071

  • CF30 Customer (26 Mar 2015 to 8 Dec 2019)
• Michael Rocco Anastasio Jr

  IRN MRA01064

  • CF13 Finance (12 Jul 2004 to 17 May 2006)
• Patric Alexander Nicolai Slama

  IRN PXS01293

  • CF30 Customer (19 May 2010 to 9 Jun 2011)

No changes recorded yet.