Robert A. Gutman
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.
Robert Ari Gutman was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 55, 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
September 22, 2016 - March 19, 2020
GUGGENHEIM SECURITIES, LLC
December 23, 2015 - September 2, 2016
EVERCORE GROUP L.L.C.
October 31, 2014 - December 31, 2015
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
September 13, 2011 - November 18, 2014
EVERCORE GROUP L.L.C.
March 17, 2009 - September 9, 2011
ROBOTTI SECURITIES, LLC
December 19, 2006 - July 7, 2009
BERNARD L. MADOFF INVESTMENT SECURITIES LLC
February 2, 2000 - August 8, 2002
G.RESEARCH, LLC
August 16, 1993 - May 9, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Series 55
Date: 3/21/2007
Limited Representative-Equity Trader ExamCurrent 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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