Donald M. Ullmann
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.
Donald Miller Ullmann was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1982. Donald had worked at 6 firms and has passed the Series 63, SIE, Series 5, Series 3, Series 7, Series 53, Series 10 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
June 3, 2013 - February 20, 2015
GUGGENHEIM SECURITIES, LLC
May 7, 2012 - April 15, 2013
GLEACHER & COMPANY SECURITIES, INC.
March 7, 2003 - November 4, 2011
KEEFE, BRUYETTE & WOODS, INC.
August 3, 1992 - September 30, 2002
MERRILL LYNCH GOVERNMENT SECURITIES INC.
February 11, 1987 - September 30, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 1982 - February 18, 1987
SALOMON BROTHERS INC.
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
Series 5
Date: 11/12/1982
Interest Rate Options ExaminationCurrent 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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