Guggenheim Securities International Ltd

• Principal Place of Business

  Guggenheim Securities International Ltd

  11-12 Hanover Street

  London

  Westminster

  W1S 1YQ

  UNITED KINGDOM

  Phone

  +4407771840949

  Web

  https://www.guggenheimsecurities.com

• Complaints Contact

  Guggenheim Securities International Ltd

  11-12 Hanover Street

  London

  Westminster

  W1S 1YQ

  UNITED KINGDOM

  Phone

  +4407771840949

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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, 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, Debenture, 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, 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, Debenture, 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, 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, Debenture, 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, 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.

• Laurent Simon Haziza

  IRN LSH01010

  • [FCA CF] Client dealing (since 5 Nov 2024)
  • [FCA CF] Manager of certification employee (since 5 Nov 2024)
• Margherita Latif

  IRN MXL00549

  • [FCA CF] Client dealing (29 May 2023 to 1 Aug 2025)
• Mark Christopher Lower

  IRN MCL01031

  • CF30 Customer (14 Apr 2011 to 3 Dec 2013)
• Mark David Bentley

  IRN MDB01090

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Dec 2023)
  • SMF16 Compliance Oversight (since 1 Dec 2023)
  • [FCA CF] Client dealing (since 29 Sep 2022)
  • [FCA CF] Material risk taker (29 Sep 2022 to 23 Jul 2024)
  • CF30 Customer (29 Sep 2015 to 20 Oct 2017)
• Melyssa Hirep

  IRN MXH03365

  • [FCA CF] Client dealing (since 5 Dec 2025)
• Nannette Ann Bax-Stevens

  IRN NAB01078

  • CF30 Customer (25 Jul 2013 to 31 Jul 2015)
• Neha Poddar

  IRN NXP00227

  • [FCA CF] Client dealing (since 23 Aug 2024)
• Nicholas Young

  IRN NXY00006

  • [FCA CF] Client dealing (since 8 Sep 2025)
• Nicholson Duncan Wells

  IRN NXW00416

  • [FCA CF] Client dealing (since 5 Feb 2026)
• Niklas Fastrich

  IRN NXF00209

  • [FCA CF] Client dealing (22 Aug 2025 to 14 Nov 2025)

No changes recorded yet.