GFI Securities Limited

• Principal Place of Business

  B G C

  5 Churchill Place

  London

  Tower Hamlets

  E14 5RD

  UNITED KINGDOM

  Phone

  +4402074221000

  Web

  http://www.gfigroup.co.uk

• Complaints Contact

  B G C

  5 Churchill Place

  London

  Tower Hamlets

  E14 5RD

  UNITED KINGDOM

  Phone

  +4402074221000

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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), Share

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  • · Limited to advice that (1) is given in connection with a transaction in the course of which the only regulated activities carried on by the firm are regulated activites of the kind on by the firm of those activities in the course of that transaction. The activities mentioned above are mentioned below and (2) relates to the carrying arranging (bringing about) deals in investments and making arrangements with a view to transactions in investments.
  • · 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, Retail (Investment), 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, Emissions Allowance, 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), Share

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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, 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Share

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  • · Limited to transactions carried out on Eurex, Xetra, and the European Energy Exchange ("EEX").

• Trades With You Directly

  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), Share, 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.
  • · May only deal on own account in MiFID financial instruments for the purpose of (i) fulfilling or executing a client order or (ii) gaining entrance to a clearing or settlement system or a recognised exchange when acting in an agency capacity or executing a client order.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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, Emissions Allowance, 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), Share

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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.

• Trading Platform

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Share, 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.

• Specialist Trading Venue

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), 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.
  • · Unable to engage in dealing on own account, as defined in paragraph 3 of Part 3 of Schedule 2 to the Regulated Activities Order, unless in respect of bonds, structured finance products, emission allowances and derivatives, which have not been declared subject to the clearing obligation in accordance with EMIR, when: i. engaging in ‘matched principal trading’ as defined in the Glossary of defined expressions used in the FCA’s Handbook; and ii. the client has consented to such trading.
  • · May only deal on own account in MiFID financial instruments for the purpose of (i) fulfilling or executing a client order or (ii) gaining entrance to a clearing and settlement system or a recognised exchange when acting in an agency capacity or executing a client order.

• Holds Your Assets

  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.

• Adam Douglas Dennis White-Johnson

  IRN ADW01169

  • [FCA CF] Client dealing (1 Nov 2021 to 6 Mar 2025)
  • CF30 Customer (27 Aug 2015 to 8 Dec 2019)
• Adam Dyerson

  IRN ACD01067

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2021)
  • CF30 Customer (2 Dec 2014 to 8 Dec 2019)
  • CF26 Customer Trading (21 Feb 2002 to 27 Dec 2002)
• Adam James Mason

  IRN AJM01731

  • CF30 Customer (3 Nov 2014 to 8 Dec 2019)
• Adam John Clitheroe

  IRN AXC00432

  • [FCA CF] Client dealing (since 1 Nov 2021)
• Adam Ketley

  IRN ACK01038

  • [FCA CF] Manager of certification employee (since 1 Nov 2021)
  • [FCA CF] Client dealing (since 1 Nov 2021)
  • [FCA CF] Material risk taker (1 Nov 2021 to 31 Dec 2022)
  • CF30 Customer (8 Jan 2015 to 8 Dec 2019)
• Adam Paul Churchill

  IRN AXC00684

  • [FCA CF] Material risk taker (11 Jan 2022 to 31 Dec 2022)
• Adrian Allan Stephen Racey

  IRN AAR01023

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (16 Jul 2020 to 18 Nov 2021)
  • CF30 Customer (18 Mar 2015 to 8 Dec 2019)
• Adrian Dann

  IRN AMD01144

  • [FCA CF] Client dealing (since 1 Nov 2021)
  • CF30 Customer (21 Jan 2015 to 8 Dec 2019)
• Adrian Keith Dell

  IRN AKD01020

  • CF15 Internal Audit (25 Jan 2007 to 30 Jun 2007)
• Alain Marckus

  IRN AXM01696

  • CF30 Customer (1 Nov 2007 to 16 Apr 2008)
  • CF26 Customer Trading (16 Sep 2005 to 31 Oct 2007)

• Hilali Finances EURL (no longer appointed)

  FRN 471448 · Appointed 10 Aug 2007 · Until 2 Jan 2013

• JL Trades Ltd (no longer appointed)

  FRN 467030 · Appointed 23 Apr 2007 · Until 29 Oct 2014

• RSl Investissement Ltd (no longer appointed)

  FRN 467031 · Appointed 23 Apr 2007 · Until 27 Oct 2014

No changes recorded yet.