Guggenheim Securities International Ltd

Date authorised
1 April 2013
Companies House
06624746
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • 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

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, 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

    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, 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

    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, 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

    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, 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

    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.

  • Nouamane Mouttaki

    IRN NXM00545

    • [FCA CF] Client dealing (since 19 Jan 2024)
  • Oliver Charles Felice

    IRN OCF30070

    • [FCA CF] Client dealing (since 16 May 2023)
  • Philip Mark Hare

    IRN PMH01150

    • [FCA CF] Client dealing (since 15 Aug 2025)
  • Philip Stratos

    IRN PXS00748

    • Director of firm who is not a certification employee or a SMF manager (since 4 Jan 2024)
  • Phillip Bloch

    IRN PXB02103

    • CF30 Customer (9 Jul 2012 to 31 Jul 2015)
  • Phillipine Bonnaud

    IRN PXB00777

    • [FCA CF] Client dealing (since 22 Aug 2025)
  • Piero Greco

    IRN PXG01241

    • CF30 Customer (22 Feb 2013 to 31 Jul 2015)
  • Pieter-Jan Bouten

    IRN PXB01431

    • [FCA CF] Manager of certification employee (since 8 Jul 2023)
    • [FCA CF] Client dealing (since 8 Jul 2023)
    • [FCA CF] Material risk taker (8 Jul 2023 to 17 Oct 2023)
  • Rahul Mehta

    IRN RXM01265

    • [FCA CF] Client dealing (since 5 Dec 2025)
  • Rajani Devi Clyne

    IRN RDC01072

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Aug 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Aug 2023)
    • CF11 Money Laundering Reporting (20 Feb 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (20 Feb 2015 to 8 Dec 2019)
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Recent activity

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

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