Donald M. Faulkner
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.
Donald Mackenzie Faulkner III, who also goes by Mack Faulkner III, Donald Mackenzie Faulkner, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1988. Donald had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2018 - September 29, 2025
GUGGENHEIM SECURITIES, LLC
May 16, 2017 - September 28, 2018
BTIG, LLC
April 17, 2013 - March 3, 2017
CLSA AMERICAS, LLC
June 26, 2009 - June 4, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.
August 29, 1996 - June 4, 2008
UBS SECURITIES LLC
July 7, 1995 - August 22, 1996
CREDIT SUISSE SECURITIES (USA) LLC
June 25, 1993 - June 23, 1995
FIRST UNION CAPITAL MARKETS CORP.
September 5, 1989 - May 20, 1993
BRANCH, CABELL & CO., INC.
October 19, 1988 - April 11, 1989
CREDIT SUISSE SECURITIES (USA) LLC
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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