GBM SECURITIES LIMITED

• Principal Place of Business

  99 Bishopsgate

  London

  EC2M 3XD

  UNITED KINGDOM

  Phone

  +4402070652050

  Web

  https://www.gbmsecurities.com

• Complaints Contact

  GBM Securities Limited

  99 Bishopsgate

  London

  City Of London

  EC2M 3XD

  UNITED KINGDOM

  Phone

  +442070652066

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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, 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, 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, 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, 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.

• Trades With You Directly

  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, 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, 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.

• Colin Fraser Bugler

  IRN CFB01013

  • [FCA CF] Client dealing (14 Jan 2026 to 4 Feb 2026)
• Colin Michael Chapman

  IRN CMC01188

  • CF30 Customer (30 Apr 2014 to 19 Jan 2015)
• David Moss

  IRN DXM01521

  • SMF16 Compliance Oversight (since 21 Nov 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 21 Nov 2025)
• Dipak Gopaldas Rajani

  IRN DGR01032

  • [FCA CF] Client dealing (9 Dec 2019 to 18 May 2022)
  • CF30 Customer (27 Jun 2013 to 8 Dec 2019)
• Dorota Joanna Pokrzywa

  IRN DXP00731

  • SMF2 Chief Finance (since 2 Oct 2025)
• Edmund Shing

  IRN EXS01369

  • CF30 Customer (9 May 2014 to 28 Sep 2015)
• Edward Golosov

  IRN EXG01176

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 11 Jul 2024)
  • CF2 Non Executive Director (8 Sep 2015 to 8 Dec 2019)
  • CF1 Director (19 Jun 2013 to 8 Sep 2015)
• Edward Peter Shek

  IRN EPS01012

  • CF30 Customer (19 Dec 2018 to 9 Apr 2019)
• Elena Williams

  IRN EXW00095

  • [FCA CF] Significant management (9 Dec 2019 to 30 Jun 2025)
• Ella Pevtsova

  IRN EXP00099

  • [FCA CF] Significant management (30 May 2023 to 27 Sep 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (6 Jul 2021 to 22 Feb 2022)

• CHILBOLTON ADVISORY SERVICES LIMITED (no longer appointed)

  FRN 1051898 · Appointed 1 Mar 2026 · Until 31 Mar 2026

No changes recorded yet.