Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Guggenheim Securities International Ltd
FRN 485435
- [FCA CF] Client dealing (since 8 Jul 2023)
- [FCA CF] Manager of certification employee (since 8 Jul 2023)
- [FCA CF] Material risk taker (8 Jul 2023 to 17 Oct 2023)
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- [FCA CF] Significant management (11 Mar 2021 to 16 Apr 2021)
- [FCA CF] Client dealing (11 Mar 2021 to 5 May 2023)
- CF3 Chief Executive (1 May 2018 to 21 Nov 2019)
- CF4 Partner (18 Mar 2015 to 21 Nov 2019)
- CF30 Customer (21 Dec 2007 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.