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

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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.

• 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.

• Jamie Robert Kay

  IRN JRK01101

  • [FCA CF] Client dealing (since 31 Mar 2020)
  • CF30 Customer (22 Nov 2017 to 8 Dec 2019)
• Jens Petter Steen

  IRN JPS01179

  • [FCA CF] Client dealing (since 19 Feb 2024)
• John Anthony Craven

  IRN JAC01163

  • CF3 Chief Executive (27 Jan 2010 to 13 Jun 2011)
  • CF1 Director (27 Jan 2010 to 13 Jun 2011)
• Kelly Walsh

  IRN KXW01663

  • [FCA CF] Client dealing (since 25 Jul 2024)
• Kevin Robinson

  IRN KXR01547

  • SMF3 Executive Director (9 Dec 2019 to 30 Sep 2021)
  • CF1 Director (23 Nov 2015 to 8 Dec 2019)
• Leif Gallup Soderberg

  IRN LGS01021

  • CF1 Director (27 Jan 2010 to 29 Jun 2011)
• MUFID ALDAJANI

  IRN MXA04068

  • [FCA CF] Client dealing (31 Mar 2020 to 31 Jul 2024)
  • CF30 Customer (18 Nov 2017 to 8 Dec 2019)
• Marcus Wulf Dieter Kirst

  IRN MWK01026

  • CF30 Customer (1 Mar 2011 to 31 Oct 2014)
• Michael Christopher Foley

  IRN MXF24879

  • SMF3 Executive Director (24 Feb 2020 to 6 Aug 2021)
• Peter Robert Brown

  IRN PXB10002

  • [FCA CF] Client dealing (since 28 Apr 2025)
  • [FCA CF] Manager of certification employee (since 28 Apr 2025)
  • [FCA CF] Significant management (since 28 Apr 2025)

No changes recorded yet.