Guggenheim Investment Advisors (Europe) Limited

Date authorised
1 April 2013
Companies House
06764622
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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
    • · 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Rajani Devi Clyne

    IRN RDC01072

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (4 Feb 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Feb 2015 to 8 Dec 2019)
  • Richard Knight

    IRN RXK01106

    • CF30 Customer (22 Aug 2018 to 8 Dec 2019)
  • Rodney Tyler Page

    IRN RTP01032

    • CF30 Customer (24 May 2013 to 1 Jan 2016)
  • Simon Murray

    IRN SXM01607

    • CF2 Non Executive Director (27 Jan 2010 to 13 Jun 2011)
  • Suzanne Jane Stone

    IRN SXS05273

    • SMF3 Executive Director (since 4 Jun 2024)
  • Tara Marie Moore

    IRN TXM01178

    • CF30 Customer (11 Nov 2015 to 8 Dec 2019)
  • William Harris Acheson

    IRN WHA01012

    • CF30 Customer (29 Aug 2013 to 1 Jan 2016)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.