John M. Leboeuf
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.
John Martin Leboeuf, who also goes by John Leboeuf, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2014 - June 3, 2016
GUGGENHEIM INVESTMENTS
May 4, 2011 - June 3, 2016
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
April 19, 2011 - June 1, 2011
OSAIC FS, INC.
March 6, 2007 - April 28, 2009
OSAIC FS, INC.
December 31, 2000 - February 2, 2007
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 19, 1999 - December 31, 2000
DELAWARE DISTRIBUTORS, L.P.
August 14, 1996 - December 16, 1998
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
January 25, 1995 - July 16, 1996
MORGAN STANLEY DW INC.
June 29, 1989 - July 6, 1994
SIGNATOR FINANCIAL SERVICES, INC.
July 1, 1988 - May 15, 1989
C.A.L. INVESTMENT SERVICES INC.
June 22, 1987 - November 18, 1987
GLOBAL ATLANTIC DISTRIBUTORS, LLC
September 26, 1985 - October 24, 1986
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
GUGGENHEIM INVESTMENTS
CRD#: 105477 / SEC#: 801-8008
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 INVESTMENTS
CRD#: 105477 / SEC#: 801-8008
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 113 |
| AUM (Assets Under Management) | $ 7,395,263,411 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
