Georgene G. Sibbald
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.
Georgene Gail Sibbald, who also goes by Georgene G Munger, Georgene Gail Munger, Georgene G Negris, Georgene Gail Negris, Georgene G Sibbald, was a registered financial professional .
Georgene is a previously registered financial professional and started their career in finance in 1982. Georgene had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2007 - December 31, 2016
GUGGENHEIM SECURITIES, LLC
May 17, 2004 - November 15, 2007
BROADPOINT DESCAP
April 9, 2002 - May 14, 2004
GLEACHER & COMPANY SECURITIES, INC.
February 29, 1996 - November 27, 2000
PRUDENTIAL EQUITY GROUP, LLC
August 16, 1994 - November 27, 1995
CITIGROUP GLOBAL MARKETS INC.
March 21, 1988 - September 13, 1994
JPMSI
May 21, 1987 - February 10, 1988
E. F. HUTTON & COMPANY INC
March 30, 1984 - June 6, 1985
PERSHING LLC
May 20, 1982 - March 13, 1984
LEHMAN BROTHERS KUHN LOEB 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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