MS
Michael J. Schwager
GUGGENHEIM FUNDS DISTRIBUTORS
Chicago, IL 60606
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CRD#: 1556099
MS
Professional summary
Michael Joseph Schwager is a registered financial professional currently at GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in Chicago, Illinois.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Joseph Schwager'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®
NoneExperience
Current
July 25, 2006 - Present
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
Office #1: 227 West Monroe Street 7th Floor, Chicago, IL 60606RIA
BD
CRD#: 39805
Chicago, IL
Past
November 16, 2006 - November 4, 2008
GUGGENHEIM INVESTMENTS
RIA
CRD#: 129288
SIMSBURY, CT
Past
March 8, 2006 - May 10, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
January 14, 1998 - March 8, 2006
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
October 11, 1995 - December 8, 1997
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
ST. LOUIS, MO
Past
January 6, 1994 - September 18, 1995
PHILLIP LOUIS TRADING, INC.
BD
CRD#: 19378
RED BANK, NJ
Past
September 11, 1991 - December 7, 1993
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
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".
GF
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
CLAYMORE SECURITIES, INC. | RANSON & ASSOCIATES INC. | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS | GUGGENHEIM GLOBAL INVESTMENTS | GUGGENHEIM FUNDS DISTRIBUTORS, LLC | GUGGENHEIM FUNDS DISTRIBUTORS, INC. | GUGGENHEIM
CRD#: 39805 / SEC#: 801-54810, 8-48842
RIA
Registered Investment Advisory firm - SEC (8/26/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Illinois(7/25/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GF
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
CLAYMORE SECURITIES, INC. | RANSON & ASSOCIATES INC. | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS | GUGGENHEIM GLOBAL INVESTMENTS | GUGGENHEIM FUNDS DISTRIBUTORS, LLC | GUGGENHEIM FUNDS DISTRIBUTORS, INC. | GUGGENHEIM
CRD#: 39805 / SEC#: 801-54810, 8-48842
RIA
Registered Investment Advisory firm - SEC (8/26/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
227 West Monroe Street 7th Floor, Chicago, IL 60606
Mailing Address
702 King Farm Blvd Ste 200, Rockville, MD 20850
Phone number
(312) 357-0287
Established
Delaware since 11/09/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
250
SEC notice filing (2 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GUGGENHEIM FUNDS SERVICES, LLC | MEMBER | |
| CHAN, YING | FINANCIAL AND OPERATIONS PRINCIPAL | 4956885 |
| COGLIANDRO, DOMINICK NMN | CHIEF OPERATING OFFICER, UNIT INVESTMENT TRUST BUSINESS | 1490945 |
| DILORENZO, DINA MARIE | PRESIDENT OF THE BROKER DEALER, GUGGENHEIM FUNDS DISTRIBUTORS, LLC | 2664787 |
| LEE, AMY JO | GENERAL COUNSEL, SECRETARY, AND SENIOR MANAGING DIRECTOR | 1161869 |
| METZGER, DENNIS RYAN | CHIEF COMPLIANCE OFFICER | 4888899 |
| MILLER, ELISABETH ANN | SENIOR MANAGING DIRECTOR | 4381813 |
| PARISI, CHRISTOPHER VITO | HEAD OF DISTRIBUTION, SENIOR MANAGING DIRECTOR | 2410528 |
Regulatory assets under management
| Total Number of Accounts | 279 |
| AUM (Assets Under Management) | $ 6,850,185,742 |
Red Flags
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