Richard G. Jaeger

GUGGENHEIM INVESTMENTS

Garden City, NY

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CRD#: 1338806

Professional summary

Richard G Jaeger, who also goes by Rich Jaeger, Richard G Jaeger, Richard George Jaeger, is a registered financial advisor currently at GUGGENHEIM INVESTMENTS located in Garden City, New York and GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in Chicago, Illinois.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rich Jaeger | Richard G Jaeger | Richard George Jaeger

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) - RIA

Click below to view Richard G Jaeger's 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

November 7, 2024 - Present

GUGGENHEIM INVESTMENTS

RIA

CRD#: 105477

Garden City, NY

Current

November 7, 2024 - Present

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Office #1: 227 West Monroe Street 7th Floor, Chicago, IL 60606

RIA

CRD#: 39805

Chicago, IL

Past

March 1, 2023 - September 9, 2024

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

Garden City, NY

Past

March 1, 2023 - September 9, 2024

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

MONUMENT, CO

Past

January 5, 2017 - March 3, 2023

HENNION & WALSH ASSET MANAGEMENT, INC.

RIA

CRD#: 126236

PARSIPPANY, NJ

Past

October 17, 2016 - March 3, 2023

HENNION & WALSH, INC.

CRD#: 25766

PARSIPPANY, NJ

Past

January 6, 2009 - October 10, 2016

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

GARDEN CITY, NY

Past

April 3, 2007 - October 10, 2016

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

LISLE, IL

Past

April 29, 2002 - April 4, 2007

RYAN BECK & CO.

CRD#: 3248

NEW YORK, NY

Past

July 31, 1992 - May 13, 2002

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

April 8, 1988 - July 31, 1992

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

September 11, 1987 - February 17, 1988

MOSELEY SECURITIES CORPORATION

CRD#: 7908

Past

October 22, 1985 - October 8, 1987

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Connecticut
(11/25/2024)

New Jersey
(11/7/2024)

IAR

New Jersey
(11/7/2024)

New York
(11/7/2024)

IAR

New York
(11/7/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/23/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/16/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/1/2007

General Securities Principal Examination

SRO Registrations

FINRA

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

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

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Firm Stability Insights

Richard G. Jaeger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard G Jaeger's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

HENNION & WALSH ASSET MANAGEMENT, INC.

HENNION & WALSH, INC.

FIRST TRUST ADVISORS LP

FIRST TRUST PORTFOLIOS L.P.

RYAN BECK & CO.

GRUNTAL & CO., L.L.C.

NATHAN & LEWIS SECURITIES, INC.

MOSELEY SECURITIES CORPORATION

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

GUGGENHEIM INVESTMENTS

State Registrations and Notice Filings

Exams

Series 66

Date: 12/23/2008

Series 63

Date: 1/16/1986

SIE

Date: 10/1/2018

Series 7

Date: 10/19/1985

Series 24

Date: 3/1/2007

FINRA

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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