James D. Decker
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.
James Dale Decker, who also goes by Jim Decker, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 9 firms and has passed the Series 63, SIE, 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
June 18, 2013 - March 13, 2020
GUGGENHEIM SECURITIES, LLC
August 29, 2008 - June 21, 2013
MORGAN JOSEPH TRIARTISAN LLC
April 19, 2006 - August 22, 2008
ALVAREZ & MARSAL SECURITIES, LLC
February 22, 2000 - March 13, 2006
HOULIHAN LOKEY CAPITAL, INC.
October 24, 1994 - August 27, 1997
SUNTRUST CAPITAL MARKETS, INC.
July 21, 1994 - October 24, 1994
TRUIST INVESTMENT SERVICES, INC.
August 7, 1989 - January 3, 1991
J.P. MORGAN SECURITIES LLC
March 24, 1987 - January 15, 1988
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
August 21, 1986 - February 3, 1987
JMB SECURITIES 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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