Sherwood L. Harris

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CRD#: 1172268

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.

Sherwood Lee Harris, who also goes by Woody Harris, was a registered financial professional .

Sherwood is a previously registered financial professional and started their career in finance in 1983. Sherwood had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Woody Harris

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 26, 2010 - January 28, 2014

GUGGENHEIM INVESTMENTS

RIA

CRD#: 105477

NEW YORK, NY

Past

January 26, 2009 - October 28, 2010

RYDEX ADVISORY SERVICES, LLC

RIA

CRD#: 132735

ROCKVILLE, MD

Past

September 6, 2001 - January 28, 2014

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

ROCKVILLE, MD

Past

May 10, 1989 - September 18, 2001

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

August 10, 1988 - May 10, 1989

THE PIONEER GROUP, INC.

CRD#: 1932

Past

July 29, 1986 - July 25, 1988

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

Past

October 17, 1984 - April 8, 1986

MORGAN STANLEY DW INC.

CRD#: 7556

Past

November 28, 1983 - October 29, 1984

CONTISECURITIES, INC.

CRD#: 6926

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GUGGENHEIM INVESTMENTS

CRD#: 105477 / SEC#: 801-8008

RIA

Registered Investment Advisory firm - (11/20/1971 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/19/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/29/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 5/2/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/30/2000

General Securities Principal Examination

Current Firm

GUGGENHEIM INVESTMENTS

CRD#: 105477 / SEC#: 801-8008

RIA

Registered Investment Advisory firm - (11/20/1971 Approved)

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Contact information

Main Address

330 Madison Avenue 10th Floor, New York, NY 10017

Mailing Address

Phone number

(212) 739-0700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	113
AUM (Assets Under Management)	$ 7,395,263,411

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Sherwood L. Harris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RYDEX ADVISORY SERVICES, LLC

GUGGENHEIM DISTRIBUTORS, LLC

AMUNDI DISTRIBUTOR US, INC.

THE PIONEER GROUP, INC.

W&S BROKERAGE SERVICES, INC.

MORGAN STANLEY DW INC.

CONTISECURITIES, INC.

Primary Firm SEC Registration

GUGGENHEIM INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/19/2008

Series 63

Date: 2/29/1984

Series 3

Date: 5/2/2006

Series 7

Date: 11/19/1983

Series 24

Date: 10/30/2000

Current Firm

GUGGENHEIM INVESTMENTS

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

GUGGENHEIM INVESTMENTS

TRUST BUT VERIFY

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