DF
Dante F. Ferrarie
GUGGENHEIM FUNDS DISTRIBUTORS
New York, NY 10017-5001
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CRD#: 2003018
DF
Professional summary
Dante Francis Ferrarie, who also goes by Dante Francis Ferrarie Mr., Dante Francis Ferrarie, is a registered financial professional currently at GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in New York, New York.
Dante is registered as a RR (Registered Representative) and started their career in finance in 1990. Dante has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 4, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dante Francis Ferrarie Mr. | Dante Francis Ferrarie
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 Dante Francis Ferrarie'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
March 12, 2025 - Present
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
Office #1: 330 Madison Ave, New York, NY 10017-5001RIA
BD
CRD#: 39805
New York, NY
Past
February 10, 2012 - January 28, 2025
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
May 31, 2011 - January 31, 2012
TICONDEROGA SECURITIES LLC
BD
CRD#: 7671
NEW YORK, NY
Past
January 23, 2009 - December 21, 2011
SOLEIL SECURITIES CORPORATION
BD
CRD#: 124737
NEW YORK, NY
Past
May 14, 2008 - January 28, 2009
LABRANCHE FINANCIAL SERVICES, LLC
BD
CRD#: 7432
NEW YORK, NY
Past
March 7, 2006 - July 7, 2006
WAVE SECURITIES, LLC
BD
CRD#: 43705
NEW YORK, NY
Past
July 26, 2004 - October 2, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
January 14, 2002 - October 25, 2002
HERZOG, HEINE, GEDULD, LLC
BD
CRD#: 2186
NEW YORK, NY
Past
April 8, 1999 - October 2, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
June 24, 1996 - February 26, 1999
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
January 23, 1990 - May 31, 1996
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
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
Alabama(3/13/2025)
RR
Connecticut(3/13/2025)
RR
Delaware(3/13/2025)
RR
District of Columbia(3/13/2025)
RR
Florida(3/13/2025)
RR
Georgia(3/13/2025)
RR
Kentucky(3/13/2025)
RR
Maine(3/13/2025)
RR
Maryland(3/13/2025)
RR
Massachusetts(3/13/2025)
RR
Mississippi(3/13/2025)
RR
New Hampshire(3/13/2025)
RR
New Jersey(3/13/2025)
RR
New York(3/12/2025)
RR
North Carolina(3/13/2025)
RR
Ohio(3/17/2025)
RR
Pennsylvania(3/13/2025)
RR
Rhode Island(3/13/2025)
RR
South Carolina(3/13/2025)
RR
Tennessee(3/13/2025)
RR
Vermont(3/13/2025)
RR
Virginia(3/13/2025)
RR
West Virginia(3/13/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 1/28/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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.
