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KT

Kevin L. Tscherne

GUGGENHEIM SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 2148557
KT

Professional summary

Kevin Lang Tscherne, who also goes by Kevin L Tscherne, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1991. Kevin has worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kevin L Tscherne

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Lang Tscherne's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 31, 2024 - Present

GUGGENHEIM SECURITIES, LLC

Office #1: 330 Madison Avenue, New York, NY 10017
BD
CRD#: 40638
New York, NY
Past

July 10, 2010 - July 26, 2024

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
BALTIMORE, MD
Past

January 2, 2009 - July 19, 2010

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
NEW YORK, NY
Past

July 8, 2004 - January 10, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 11, 2003 - May 28, 2004

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

May 1, 2001 - August 22, 2003

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

February 5, 2001 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

March 6, 2000 - February 5, 2001

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

May 8, 1998 - March 16, 2000

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

July 1, 1996 - March 18, 1998

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

July 14, 1993 - July 10, 1996

DEUTSCHE IXE, LLC

BD
CRD#: 7172
NEW YORK, NY
Past

March 11, 1993 - July 7, 1993

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

July 8, 1991 - January 27, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
New York
(7/31/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/29/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 5/12/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/3/1991
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

GS
GUGGENHEIM SECURITIES, LLC
GUGGENHEIM CAPITAL MARKETS, LLC | LINKS SECURITIES LLC | LINKS SECURITIES INC. | GUGGENHEIM SECURITIES, LLC

CRD#: 40638 / SEC#: , 8-49107

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
330 Madison Avenue, New York, NY 10017
Mailing Address
330 Madison Avenue 8th Floor, New York, NY 10017
Phone number
(212) 518-9200
Established
Delaware since 01/29/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LINKS HOLDINGS, LLCMEMBER
GUGGENHEIM MANAGER, INC.MANAGING MEMBER
LOWERY WHILLE, TRACYCHIEF COMPLIANCE OFFICER2872693
MILLSTEIN, JAMES E.CO-CHARIMAN4270577
SCHWARTZ, ALAN DAVIDCO-CHAIRMAN416184
SCHWARTZ, ANDREW JONCHIEF FINANCIAL OFFICER5121914
TSOU, SUSANFINOP & PRINCIPAL FINANCIAL OFFICER6187001
VAN LITH, MARK ALANCHEIF EXECUTIVE OFFICER2263510
WINICK, HOWARD NEILPRINCIPAL OPERATIONS OFFICER1871689

Disclosures

Regulatory Event10

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.

Company Information

GUGGENHEIM SECURITIES, LLC

CRD#: 40638New York, NY 10017

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