G.H. FINANCIALS LIMITED

• Principal Place of Business

  St. Martin's House

  3 Priory Court

  Pilgrim Street

  London

  EC4V 6DE

  UNITED KINGDOM

  Phone

  +4402076536400

  Web

  https://www.ghfinancials.com

• Complaints Contact

  St. Martin's House

  3 Priory Court

  Pilgrim Street

  London

  EC4V 6DE

  UNITED KINGDOM

  Phone

  +442076536402

• 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), 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), Spread Bet, Warrant

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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, 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), 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), Spread Bet, Warrant

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  • · 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), 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.

• 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), 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), Spread Bet, Warrant

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Trades With You Directly

  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), 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), Spread Bet, Warrant

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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, 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

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Holds Your Assets

  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), 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.

• Justin Van Wijngaarden

  IRN JJV01019

  • CF10a CASS Oversight function (11 Apr 2013 to 2 May 2018)
  • CF1 Director (18 Feb 2013 to 30 Nov 2018)
  • CF28 Systems and controls (18 Feb 2013 to 30 Nov 2018)
• Karen Elizabeth Kalaway

  IRN KEK01013

  • CF26 Customer Trading (16 Jun 2004 to 1 Feb 2006)
• Kieran O'Regan

  IRN KXO00139

  • [FCA CF] Material risk taker (since 4 Oct 2024)
  • SMF3 Executive Director (since 4 Oct 2024)
  • [PRA CF] Key function holder (since 9 Oct 2023)
  • [FCA CF] CASS oversight function (since 9 Oct 2023)
  • [FCA CF] Significant management (9 Oct 2023 to 4 Oct 2024)
• Leon Andre Vardon

  IRN LAV01001

  • CF1 Director (5 Jan 2012 to 11 Mar 2013)
  • CF11 Money Laundering Reporting (3 Mar 2009 to 19 Dec 2014)
  • CF10 Compliance Oversight (3 Mar 2009 to 16 Dec 2013)
• Lesley Kumar

  IRN LNK01004

  • [FCA CF] Material risk taker (since 28 Sep 2023)
• Liam Patrick Buckley

  IRN LPB01013

  • CF26 Customer Trading (1 Dec 2001 to 6 Aug 2004)
• Lorenzo Di Teodoro

  IRN LXD00452

  • [FCA CF] Material risk taker (since 8 Apr 2024)
• Marc William James Kingston

  IRN MWK01012

  • CF10 Compliance Oversight (1 Dec 2001 to 3 Mar 2009)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 3 Mar 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 28 May 2003)
• Mark Peter Millard

  IRN MXM01091

  • [FCA CF] Significant management (3 Jan 2023 to 9 Oct 2023)
  • [PRA CF] Key function holder (3 Jan 2023 to 9 Oct 2023)
  • [FCA CF] CASS oversight function (3 Jan 2023 to 9 Oct 2023)
• Mark Phelps

  IRN MXP02129

  • SMF3 Executive Director (9 Dec 2019 to 17 Dec 2021)
  • SMF1 Chief Executive (9 Dec 2019 to 17 Dec 2021)
  • CF3 Chief Executive (2 Apr 2018 to 8 Dec 2019)
  • CF1 Director (2 Apr 2018 to 8 Dec 2019)
  • CF30 Customer (3 Dec 2012 to 8 Dec 2019)

No changes recorded yet.