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.

• Anthony Michael Maude

  IRN AMM01101

  • CF30 Customer (9 Oct 2009 to 14 May 2010)
• Anthony Norman Herbert

  IRN TXH01125

  • [FCA CF] Manager of certification employee (since 1 Nov 2024)
  • [FCA CF] Client dealing (since 1 Nov 2024)
• Antoine Caudrillier

  IRN AXC01838

  • CF26 Customer Trading (11 Mar 2005 to 12 Jul 2005)
• Antoine Nicolas Alexandre Lecroisey

  IRN ANL01021

  • CF30 Customer (25 Oct 2012 to 8 Dec 2019)
• Antony John Kirwan

  IRN AJK01168

  • CF30 Customer (9 Nov 2009 to 2 Aug 2010)
• Anuj Ashok Kotecha

  IRN AAK01074

  • CF30 Customer (4 Mar 2011 to 1 Jan 2012)
• Anurag Modi

  IRN AXM02262

  • CF15 Internal Audit (10 Jul 2006 to 4 Sep 2006)
• Arabella Wheeler

  IRN AXW00683

  • [FCA CF] Client dealing (since 31 Oct 2022)
• Archie Kingham

  IRN AXK00865

  • [FCA CF] Client dealing (19 Mar 2025 to 15 Sep 2025)
• Arifa Sheikh-Usmani

  IRN AXS01865

  • CF30 Customer (9 Mar 2011 to 17 Aug 2012)

• 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.