Guggenheim Investment Advisors (Europe) Limited

• Principal Place of Business

  86 Jermyn Street

  2nd Floor

  London

  SW1Y 6JD

  UNITED KINGDOM

  Phone

  +442046202732

• Complaints Contact

  86 Jermyn Street

  2nd Floor

  London

  SW1Y 6JD

  UNITED KINGDOM

  Phone

  +442030596677

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  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, Spread Bet, Unit, 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.

• 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, 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, Spread Bet, Unit, 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.

• Arranges Asset Safekeeping

  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, Spread Bet, 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.

• 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 (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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 Eisenberg

  IRN AJE01121

  • CF11 Money Laundering Reporting (27 Jan 2010 to 13 Jun 2011)
  • CF30 Customer (27 Jan 2010 to 13 Jun 2011)
  • CF10 Compliance Oversight (27 Jan 2010 to 13 Jun 2011)
• Andrew M Rosenfield

  IRN AXR01884

  • CF1 Director (27 Jan 2010 to 13 Jun 2011)
• Catherine Alexandra Mary Court

  IRN CAC01112

  • CF10 Compliance Oversight (9 Aug 2011 to 5 Jan 2015)
  • CF11 Money Laundering Reporting (9 Aug 2011 to 5 Jan 2015)
  • CF1 Director (22 Feb 2011 to 4 Jun 2018)
  • CF30 Customer (22 Feb 2011 to 4 Jun 2018)
• Christopher Parisi

  IRN CXP00338

  • [FCA CF] Client dealing (since 15 Sep 2021)
  • [FCA CF] Significant management (since 15 Sep 2021)
  • [FCA CF] Material risk taker (since 15 Sep 2021)
  • [FCA CF] Manager of certification employee (since 15 Sep 2021)
• DINA M DILORENZO

  IRN DMD01096

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (29 Nov 2017 to 8 Dec 2019)
• David Bradley Rone

  IRN DXR00311

  • SMF3 Executive Director (10 Mar 2022 to 16 Sep 2024)
• Devanshi Manoj Parekh

  IRN DMP01114

  • [FCA CF] Material risk taker (31 Mar 2020 to 30 Apr 2024)
  • [FCA CF] Client dealing (31 Mar 2020 to 30 Apr 2024)
  • CF30 Customer (25 May 2016 to 8 Dec 2019)
• Donald John Mueth

  IRN DJM01574

  • CF29 Significant management (27 Jan 2010 to 28 Jan 2015)
• JEREMY DAVID KING

  IRN JDK01063

  • CF30 Customer (19 Mar 2013 to 11 Dec 2014)
• JULIO CESAR QUINTERO

  IRN JCQ01008

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (3 Aug 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (28 Dec 2012 to 5 Jan 2015)
  • CF10 Compliance Oversight (28 Dec 2012 to 5 Jan 2015)

No changes recorded yet.