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GV

Gary R. Vura

GUGGENHEIM SECURITIES
Fort Lauderdale, FL 33394
Some features on this profile are disabled
CRD#: 1214812
GV

Professional summary

Gary Richard Vura is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in Fort Lauderdale, Florida.

Gary is registered as a RR (Registered Representative) and started their career in finance in 1984. Gary has worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Gary Richard Vura's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

September 24, 2015 - Present

GUGGENHEIM SECURITIES, LLC

Office #1: 100 Se Third Avenue Suite 1525, Fort Lauderdale, FL 33394
BD
CRD#: 40638
Fort Lauderdale, FL
Past

June 16, 2015 - July 31, 2015

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

December 11, 2014 - June 9, 2015

ICAP SECURITIES USA LLC

BD
CRD#: 19739
NEW YORK, NY
Past

January 28, 1997 - June 9, 2015

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
JERSEY CITY, NJ
Past

March 21, 1996 - November 4, 2004

GARBAN CAPITAL MARKETS LLC

BD
CRD#: 19738
JERSEY CITY, NJ
Past

October 6, 1995 - April 4, 1996

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

March 17, 1995 - October 9, 1995

THE NORTHSTAR GROUP, INC.

BD
CRD#: 31282
GREENWICH, CT
Past

June 1, 1992 - May 11, 1994

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

March 13, 1989 - May 28, 1992

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

June 19, 1986 - January 18, 1989

JPMSI

BD
CRD#: 15733
Past

April 26, 1984 - March 20, 1986

CITICORP SECURITIES, INC.

BD
CRD#: 7474

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(6/5/2019)
RR
California
(3/13/2017)
RR
Colorado
(6/29/2018)
RR
Connecticut
(10/19/2015)
RR
Delaware
(5/19/2017)
RR
Florida
(9/23/2016)
RR
Georgia
(4/30/2018)
RR
Illinois
(12/7/2015)
RR
Minnesota
(11/3/2015)
RR
Nevada
(5/31/2017)
RR
New Jersey
(10/5/2015)
RR
New York
(9/28/2015)
RR
Pennsylvania
(12/14/2015)
RR
Wisconsin
(10/6/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 12/11/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/7/1992
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/16/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 2/22/1984
Municipal Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

GS
GUGGENHEIM SECURITIES, LLC
GUGGENHEIM CAPITAL MARKETS, LLC | LINKS SECURITIES LLC | LINKS SECURITIES INC. | GUGGENHEIM SECURITIES, LLC

CRD#: 40638 / SEC#: , 8-49107

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
330 Madison Avenue, New York, NY 10017
Mailing Address
330 Madison Avenue 8th Floor, New York, NY 10017
Phone number
(212) 518-9200
Established
Delaware since 01/29/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LINKS HOLDINGS, LLCMEMBER
GUGGENHEIM MANAGER, INC.MANAGING MEMBER
LOWERY WHILLE, TRACYCHIEF COMPLIANCE OFFICER2872693
MILLSTEIN, JAMES E.CO-CHARIMAN4270577
SCHWARTZ, ALAN DAVIDCO-CHAIRMAN416184
SCHWARTZ, ANDREW JONCHIEF FINANCIAL OFFICER5121914
TSOU, SUSANFINOP & PRINCIPAL FINANCIAL OFFICER6187001
VAN LITH, MARK ALANCHEIF EXECUTIVE OFFICER2263510
WINICK, HOWARD NEILPRINCIPAL OPERATIONS OFFICER1871689

Disclosures

Regulatory Event10

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.

Company Information

GUGGENHEIM SECURITIES, LLC

CRD#: 40638Fort Lauderdale, FL 33394

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