Michael Cuccurullo
Professional summary
Michael Cuccurullo is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1992. Michael has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Cuccurullo's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 8, 2015 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017April 8, 2013 - May 18, 2015
CLSA AMERICAS, LLC
March 12, 2013 - June 4, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.
September 22, 2008 - February 26, 2013
BARCLAYS CAPITAL INC.
August 15, 1996 - September 22, 2008
LEHMAN BROTHERS INC.
August 27, 1994 - July 12, 1996
J.P. MORGAN SECURITIES LLC
August 3, 1992 - September 29, 1992
SOUTH RICHMOND SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/10/2015)
(3/8/2016)
(6/10/2015)
(6/10/2015)
(10/24/2019)
(3/28/2019)
(10/9/2018)
(6/10/2015)
(10/19/2018)
(3/7/2016)
(6/10/2015)
(7/13/2015)
(3/7/2016)
(3/17/2016)
(1/27/2025)
(11/20/2015)
(6/8/2015)
(5/9/2025)
(3/17/2016)
(6/16/2015)
(8/9/2022)
(7/13/2015)
(1/9/2025)
(12/9/2022)
(3/17/2016)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/23/2004
Limited Representative-Equity Trader ExamFINRA
Investors' Exchange LLC
Nasdaq Stock Market
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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