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

  Show 2 limitations Hide limitations

  • · 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

  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, 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

  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, 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

  Show 1 limitation Hide limitations

  • · 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

  Show 2 limitations 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.
  • · 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

  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.

• 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

  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.

• 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

  Show 3 limitations 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.
  • · 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.

• Nicholas John Tate

  IRN NJT01052

  • CF21 Investment Adviser (27 Jun 2005 to 27 Jul 2007)
  • CF26 Customer Trading (23 Mar 2004 to 27 Jun 2005)
• Nick Fuller

  IRN NJF01111

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2022)
  • CF30 Customer (2 Oct 2014 to 8 Dec 2019)
• Nicola Hill

  IRN NXH00164

  • [FCA CF] Client dealing (9 Dec 2019 to 7 Oct 2023)
• Nicolas Daniel Corry

  IRN NDC01037

  • CF30 Customer (17 Apr 2009 to 1 Feb 2011)
• Nigel Stephen Pope

  IRN NSP01025

  • CF30 Customer (1 Nov 2007 to 20 Nov 2012)
  • CF26 Customer Trading (17 Feb 2004 to 31 Oct 2007)
• Nikola Blunden

  IRN NXP01442

  • [FCA CF] Client dealing (since 10 Feb 2025)
• Niteen Sharma

  IRN NXS01154

  • CF10 Compliance Oversight (19 May 2014 to 23 Jun 2015)
  • CF11 Money Laundering Reporting (19 May 2014 to 23 Jun 2015)
• Noel Stewart Craik

  IRN NSC01071

  • [FCA CF] Client dealing (since 1 Nov 2021)
  • [FCA CF] Manager of certification employee (since 1 Nov 2021)
  • CF30 Customer (24 Nov 2014 to 8 Dec 2019)
• OLUMIDE ADEYEMI ADEBAYO

  IRN OAA00057

  • CF30 Customer (23 Mar 2017 to 4 Jan 2019)
• Oliver Arron Curzon JACKSON

  IRN OAJ01005

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (14 Mar 2017 to 8 Dec 2019)

• 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.