Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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GAMCO Asset Management (UK) Limited
FRN 197343
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF11 Money Laundering Reporting (30 Jun 2015 to 2 Aug 2018)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF10 Compliance Oversight (8 Oct 2004 to 6 Jan 2015)
- CF1 Director (8 Oct 2004 to 8 Dec 2019)
- CF3 Chief Executive (8 Oct 2004 to 8 Dec 2019)
- CF8 Apportionment and Oversight (8 Oct 2004 to 31 Oct 2007)
- CF27 Investment Management (11 Apr 2003 to 31 Oct 2007)
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GABELLI SECURITIES INTERNATIONAL UK LIMITED
FRN 536841
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- CF11 Money Laundering Reporting (13 Sep 2011 to 3 Aug 2018)
- CF3 Chief Executive (13 Sep 2011 to 8 Dec 2019)
- CF30 Customer (13 Sep 2011 to 8 Dec 2019)
- CF1 Director (13 Sep 2011 to 8 Dec 2019)
- CF10 Compliance Oversight (13 Sep 2011 to 3 Aug 2018)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.