Carlos R. Guasp
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carlos Ramon Guasp was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1982. Carlos had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2011 - October 24, 2016
GUGGENHEIM SECURITIES, LLC
February 10, 2004 - October 12, 2011
KEEFE, BRUYETTE & WOODS, INC.
October 14, 1999 - May 1, 2002
MERRILL LYNCH FINANCIAL SERVICES OF PUERTO RICO, INC.
October 4, 1994 - November 23, 1999
MERRILL LYNCH GOVERNMENT SECURITIES OF PUERTO RICO, INC.
October 4, 1994 - August 26, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 6, 1989 - September 11, 1990
CHASE SECURITIES (P.R.), INC.
August 18, 1986 - November 9, 1988
DEAN WITTER PUERTO RICO INC.
February 25, 1982 - June 19, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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