Michael J. Richter
Professional summary
Michael Jay Richter is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in Los Angeles, California.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 10 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Jay Richter's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 16, 2025 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 10250 Constellation Blvd 23rd Floor, Suite 2300, Los Angeles, CA 90067July 9, 2008 - September 23, 2025
LAZARD FRERES & CO. LLC
October 12, 2003 - July 8, 2008
JEFFERIES LLC
October 8, 2003 - April 16, 2004
JEFFERIES/QUARTERDECK, LLC
March 10, 2003 - April 16, 2004
QUARTERDECK INVESTMENT PARTNERS, LLC
May 1, 1998 - March 6, 2003
CIBC WORLD MARKETS CORP.
October 1, 1997 - April 17, 1998
BANC OF AMERICA SECURITIES LLC
June 10, 1996 - October 1, 1997
MONTGOMERY SECURITIES
June 26, 1995 - June 28, 1996
PRUDENTIAL EQUITY GROUP, LLC
December 19, 1989 - November 15, 1994
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
(9/16/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
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 |
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