LP
Lee T. Personeni
GUGGENHEIM INVESTMENTS
Saddle River, NJ
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CRD#: 2157742
LP
Professional summary
Lee Tracy Personeni, who also goes by Lee Personeni Daniel, is a registered financial advisor currently at GUGGENHEIM INVESTMENTS located in Saddle River, New Jersey and GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in New York, New York.
Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Lee has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lee Personeni Daniel
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.
Owner of a 20% stake in Surf Souliel, a swimsuit retailer located at 484 Plandome Rd. Manhasset, NY 11030. This is not an investment related business and 0 hours will be devoted to it per month, in securities trading hours or otherwise. The start date of the relationship was 9/12/2020.
CRS (Client Relationship Summary) - RIA
Click below to view Lee Tracy Personeni's 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®
NoneExperience
Current
March 4, 2014 - Present
GUGGENHEIM INVESTMENTS
RIA
CRD#: 105477
Saddle River, NJ
Current
May 3, 2010 - Present
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
Office #1: 330 Madison Ave, New York, NY 10017-5001RIA
BD
CRD#: 39805
New York, NY
Past
April 5, 2005 - April 20, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
JERSEY CITY, NJ
Past
April 5, 2005 - April 20, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
November 5, 2004 - April 6, 2005
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
May 12, 2004 - November 3, 2004
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEW YORK, NY
Past
July 1, 2003 - November 3, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 3, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GI
GUGGENHEIM INVESTMENTS
6TH AVENUE INVESTMENT MANAGEMENT COMPANY | SECURITY MANAGEMENT COMPANY, LLC | SECURITY INVESTORS, LLC | SECURITY GLOBAL INVESTORS | RYDEX|SGI | RYDEX INVESTMENTS | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS | 6TH AVENUE INVESTMENT MANAGEMENT COMPANY, LLC
CRD#: 105477 / SEC#: 801-8008
RIA
Registered Investment Advisory firm - (11/20/1971 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(5/8/2012)
RR
Alaska(5/8/2012)
RR
Arizona(5/8/2012)
RR
Arkansas(5/8/2012)
RR
California(5/8/2012)
RR
Colorado(5/8/2012)
RR
Connecticut(5/8/2012)
RR
Delaware(5/8/2012)
RR
District of Columbia(5/8/2012)
RR
Florida(5/8/2012)
RR
Georgia(5/8/2012)
RR
Hawaii(5/8/2012)
RR
Idaho(5/8/2012)
RR
Illinois(5/3/2010)
IAR
Illinois(3/4/2014)
RR
Indiana(5/8/2012)
RR
Iowa(5/8/2012)
RR
Kansas(5/8/2012)
RR
Kentucky(5/8/2012)
RR
Louisiana(5/8/2012)
RR
Maine(5/8/2012)
RR
Maryland(5/8/2012)
RR
Massachusetts(5/8/2012)
RR
Michigan(5/8/2012)
RR
Minnesota(5/8/2012)
RR
Mississippi(5/8/2012)
RR
Missouri(5/8/2012)
RR
Montana(5/8/2012)
RR
Nebraska(5/8/2012)
RR
Nevada(5/8/2012)
RR
New Hampshire(5/8/2012)
RR
New Jersey(5/3/2010)
IAR
New Jersey(2/6/2025)
RR
New Mexico(5/8/2012)
RR
New York(5/3/2010)
IAR
New York(8/26/2021)
RR
North Carolina(5/8/2012)
RR
North Dakota(5/8/2012)
RR
Ohio(5/8/2012)
RR
Oklahoma(5/8/2012)
RR
Oregon(5/8/2012)
RR
Pennsylvania(5/8/2012)
RR
Puerto Rico(5/8/2012)
RR
Rhode Island(5/8/2012)
RR
South Carolina(5/8/2012)
RR
South Dakota(5/8/2012)
RR
Tennessee(5/8/2012)
RR
Texas(5/8/2012)
RR
Utah(5/8/2012)
RR
Vermont(5/8/2012)
RR
Virgin Islands(5/8/2012)
RR
Virginia(5/8/2012)
RR
Washington(5/8/2012)
RR
West Virginia(5/8/2012)
RR
Wisconsin(5/8/2012)
RR
Wyoming(5/8/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GI
GUGGENHEIM INVESTMENTS
6TH AVENUE INVESTMENT MANAGEMENT COMPANY | SECURITY MANAGEMENT COMPANY, LLC | SECURITY INVESTORS, LLC | SECURITY GLOBAL INVESTORS | RYDEX|SGI | RYDEX INVESTMENTS | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS | 6TH AVENUE INVESTMENT MANAGEMENT COMPANY, LLC
CRD#: 105477 / SEC#: 801-8008
RIA
Registered Investment Advisory firm - (11/20/1971 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
330 Madison Avenue 10th Floor, New York, NY 10017
Mailing Address
Phone number
(212) 739-0700
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 113 |
| AUM (Assets Under Management) | $ 7,395,263,411 |
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.
