James M. Schrack
Professional summary
James Manner Schrack II was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, James had worked at 7 firms, which includes GUGGENHEIM DISTRIBUTORS LLC, FARMERS FINANCIAL SOLUTIONS LLC, FORESIDE DISTRIBUTION SERVICES L.P., PFS INVESTMENTS INC., ONEAMERICA SECURITIES INC., AVANTAX INVESTMENT SERVICES INC., FIFTH THIRD SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2005 - March 10, 2006
GUGGENHEIM DISTRIBUTORS, LLC
November 14, 2003 - December 17, 2004
FARMERS FINANCIAL SOLUTIONS, LLC
April 1, 2002 - April 4, 2003
FORESIDE DISTRIBUTION SERVICES, L.P.
November 16, 2001 - February 28, 2002
PFS INVESTMENTS INC.
January 7, 2000 - March 29, 2001
ONEAMERICA SECURITIES, INC.
November 23, 1998 - December 22, 1999
AVANTAX INVESTMENT SERVICES, INC.
May 23, 1985 - October 30, 1998
FIFTH THIRD SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
GUGGENHEIM DISTRIBUTORS, LLC
CRD#: 40805 / SEC#: , 8-49200
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RYDEX HOLDINGS, LLC | 100% MEMBERSHIP INTEREST | |
| BELDEN, WILLIAM HINCHLIFFE III | VICE PRESIDENT | 1693322 |
| CACCIAPAGLIA, DONALD CHRISTOPHER | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1396644 |
| JACQUES, JULIE ANN | FINOP | 5212910 |
| JACQUES, JULIE ANN | TREASURER | 5212910 |
| LEE, AMY JO | SECRETARY | 1161869 |
| LEE, AMY JO | VICE PRESIDENT | 1161869 |
| MANGINI, DOUGLAS C | VICE PRESIDENT | 1414476 |
| MCGOVERN, KEVIN MICHAEL | VICE PRESIDENT | 1745533 |
| METZGER, DENNIS RYAN | ASSISTANT CHIEF COMPLIANCE OFFICER | 4888899 |
| MILLER, ELISABETH ANN | CHIEF COMPLIANCE OFFICER | 4381813 |
| WORF, JEFFREY ALLEN | VICE PRESIDENT | 1416591 |
Disclosures
| Regulatory Event | 1 |
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