Edward M. Abany
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.
Edward Michael Abany, who also goes by Eddie Abany, Edward Abany, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1992. Edward had worked at 10 firms and has passed the Series 63, Series 55, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2012 - June 19, 2013
GUGGENHEIM SECURITIES, LLC
June 27, 2011 - September 6, 2012
SUMMER STREET RESEARCH PARTNERS
August 23, 2010 - July 19, 2011
RANGE GLOBAL LLC
November 18, 2008 - August 30, 2010
NOVA CAPITAL MARKETS, LLC
November 18, 2002 - November 28, 2008
MORGAN KEEGAN & COMPANY, LLC
February 26, 2001 - November 11, 2002
APEX CLEARING CORPORATION
July 11, 1996 - March 22, 1999
NATIONAL FINANCIAL SERVICES LLC
February 15, 1994 - July 11, 1996
FIDELITY BROKERAGE SERVICES LLC
February 9, 1993 - April 13, 1994
FIDELITY DISTRIBUTORS COMPANY LLC
February 6, 1992 - July 17, 1992
LEHMAN BROTHERS INC.
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: 1/16/2002
Limited Representative-Equity Trader ExamSeries 8
Date: 3/7/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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 |
Red Flags
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