Victor A. Falvo
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.
Victor Anthony Falvo was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 1983. Victor had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2012 - September 9, 2015
GUGGENHEIM SECURITIES, LLC
August 23, 2011 - December 5, 2011
MF GLOBAL INC.
May 14, 2010 - September 1, 2011
CITIGROUP GLOBAL MARKETS INC.
January 7, 2005 - April 5, 2005
FHN FINANCIAL SECURITIES CORP.
October 29, 2003 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
November 6, 2001 - October 29, 2003
GLEACHER & COMPANY SECURITIES, INC.
December 24, 1990 - April 18, 2000
NOMURA SECURITIES INTERNATIONAL, INC.
January 9, 1990 - November 6, 1990
PRUDENTIAL EQUITY GROUP, LLC
November 15, 1984 - January 16, 1990
SALOMON BROTHERS INC.
October 17, 1983 - September 17, 1984
MORGAN STANLEY DW 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: 1/22/1986
Interest Rate Options ExaminationSeries 8
Date: 8/1/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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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