Barbara L. Adamczyk
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.
Barbara Lee Adamczyk, who also goes by Barbara Lee Fields, Barbara Lee Woodall, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1984. Barbara had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2013 - March 19, 2014
GUGGENHEIM SECURITIES, LLC
October 20, 2009 - March 14, 2011
OCM INVESTMENTS, LLC
November 3, 1999 - April 20, 2009
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
August 4, 1995 - November 15, 1999
SIGNATOR FINANCIAL SERVICES, INC.
November 18, 1991 - January 11, 1994
WAMU INVESTMENTS, INC.
May 15, 1989 - December 3, 1991
CAPITAL BROKERAGE CORPORATION
October 15, 1985 - August 29, 1990
HIMCO DISTRIBUTION SERVICES COMPANY
March 22, 1984 - April 8, 1985
"SHAREAMERICA"
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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