David C. Worley
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.
David Clark Worley was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 5 firms and has passed the Series 63, Series 65, Series 66, Series 31, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2012 - February 10, 2015
GUGGENHEIM SECURITIES, LLC
August 13, 2010 - June 10, 2011
GUGGENHEIM SECURITIES, LLC
January 11, 2005 - February 16, 2006
GUGGENHEIM INVESTOR SERVICES, LLC
April 23, 2004 - December 1, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 23, 2004 - December 1, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 17, 1995 - August 31, 1998
NATWEST SECURITIES CORPORATION
November 21, 1989 - January 24, 1995
KIDDER, PEABODY & CO. INCORPORATED
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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