Afi Hubbard
Professional summary
Afi Hubbard, who also goes by Afi India Davies, Afi India Mary Davies, Afi Mary Davies, Afi India Mary Hubbard, Afi Mary Hubbard, India Mary Hubbard, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.
Afi is registered as a RR (Registered Representative) and started their career in finance in 1996. Afi has worked at 6 firms and has passed the Series 63, SIE, Series 16, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Afi Hubbard's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 8, 2024 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017September 11, 2019 - November 24, 2023
BERENBERG CAPITAL MARKETS LLC
June 26, 2017 - August 12, 2019
BREAN CAPITAL, LLC
April 29, 2013 - February 6, 2017
BREAN CAPITAL, LLC
September 29, 2011 - November 2, 2012
THINKEQUITY LLC
September 30, 2009 - September 1, 2011
THINKEQUITY LLC
July 9, 1999 - March 30, 2009
GLEACHER & COMPANY SECURITIES, INC.
October 30, 1996 - June 12, 1998
J.P. MORGAN SECURITIES 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
(2/8/2024)
Exams
FINRA
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 |
| SIRNA, KRISTINE M | CHIEF OPERATIONS PRINCIPAL & PRINCIPAL OPERATIONS OFFICER | 5971785 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
Disclosures
| Regulatory Event | 10 |
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.
