Lance A. Soloway
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.
Lance Allen Soloway, who also goes by Lance Alllen Soloway, was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 1982. Lance had worked at 11 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
March 29, 2007 - February 20, 2018
GUGGENHEIM SECURITIES, LLC
April 30, 2003 - March 28, 2007
UNITED CAPITAL MARKETS, INC.
March 1, 2001 - April 16, 2003
HSBC BROKERAGE (USA) INC.
September 17, 1997 - August 11, 2000
COUNTRYWIDE SECURITIES CORPORATION
March 5, 1997 - May 7, 1997
WACHOVIA SECURITIES, INC.
June 3, 1994 - January 16, 1997
BANC OF AMERICA SECURITIES LLC
August 23, 1989 - May 12, 1994
PERSHING LLC
June 9, 1989 - September 6, 1989
SANWA SECURITIES (USA) CO., L.P.
June 29, 1987 - October 27, 1987
J.P. MORGAN SECURITIES LLC
December 20, 1984 - July 10, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
September 23, 1982 - September 26, 1984
PRUDENTIAL EQUITY GROUP, LLC
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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