Douglas M. Atkin
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.
Douglas Michael Atkin was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1984. Douglas had worked at 9 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
September 5, 2012 - June 26, 2013
GUGGENHEIM SECURITIES, LLC
June 17, 2010 - October 25, 2011
GUGGENHEIM SECURITIES, LLC
March 10, 2009 - May 17, 2010
W.R. HAMBRECHT + CO., LLC
September 15, 2005 - May 3, 2007
MAJESTIC SECURITIES LLC
January 4, 2005 - August 23, 2005
EXGEN SECURITIES LLC
May 20, 2004 - December 15, 2004
W.R. HAMBRECHT + CO., LLC
August 30, 2001 - May 7, 2002
INSTINET FIXED INCOME INC.
June 16, 2000 - May 7, 2002
INSTINET, LLC
April 19, 2000 - April 30, 2001
INSTINET.COM CORPORATION
September 30, 1998 - May 7, 2002
INSTINET, LLC
October 4, 1985 - December 18, 1992
INSTINET, LLC
December 18, 1984 - April 23, 2001
REUTERS C CORPORATION
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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