Robert E. Coyne

GUGGENHEIM INVESTMENTS

BELLVUE, WA

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CRD#: 2208404

Professional summary

Robert Emmet Coyne, who also goes by Rob Coyne, is a registered financial advisor currently at GUGGENHEIM INVESTMENTS located in Bellvue, Washington and GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in Bellevue, Washington.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Robert has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rob Coyne

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) - RIA

Click below to view Robert Emmet Coyne'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®

None

Experience

Current

March 4, 2014 - Present

GUGGENHEIM INVESTMENTS

RIA

CRD#: 105477

BELLVUE, WA

Current

November 16, 2010 - Present

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

RIA

CRD#: 39805

BELLEVUE, WA

Past

January 31, 2012 - March 3, 2014

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

BELLEVUE, WA

Past

June 27, 2007 - November 12, 2010

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

NEW YORK, NY

Past

June 27, 2007 - November 12, 2010

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

BELLEVUE, WA

Past

December 7, 2004 - May 17, 2007

LORD, ABBETT & CO. LLC

RIA

CRD#: 110391

JERSEY CITY, NJ

Past

September 27, 2004 - May 17, 2007

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

Past

May 19, 1998 - August 25, 2004

NATIXIS DISTRIBUTION, LLC

CRD#: 34754

BOSTON, MA

Past

July 11, 1994 - May 13, 1998

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

February 10, 1992 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

February 10, 1992 - July 18, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

GUGGENHEIM INVESTMENTS

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.

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

Alabama
(5/21/2012)

Alaska
(11/16/2010)

Arizona
(11/16/2010)

Arkansas
(11/16/2010)

California
(11/16/2010)

Colorado
(11/16/2010)

Connecticut
(5/21/2012)

Delaware
(5/21/2012)

District of Columbia
(5/21/2012)

Florida
(5/21/2012)

Georgia
(5/21/2012)

Hawaii
(11/16/2010)

Idaho
(11/16/2010)

Illinois
(11/16/2010)

IAR

Illinois
(3/4/2014)

Indiana
(11/16/2010)

Iowa
(11/16/2010)

Kansas
(11/16/2010)

Kentucky
(11/16/2010)

Louisiana
(11/16/2010)

Maine
(5/21/2012)

Maryland
(5/21/2012)

Massachusetts
(5/21/2012)

Michigan
(11/16/2010)

Minnesota
(11/16/2010)

Mississippi
(5/21/2012)

Missouri
(11/16/2010)

Montana
(11/16/2010)

Nebraska
(11/16/2010)

Nevada
(11/16/2010)

New Hampshire
(5/21/2012)

New Jersey
(5/21/2012)

New Mexico
(11/16/2010)

New York
(5/21/2012)

North Carolina
(5/21/2012)

North Dakota
(11/16/2010)

Ohio
(11/17/2010)

Oklahoma
(11/16/2010)

Oregon
(11/16/2010)

Pennsylvania
(5/21/2012)

Puerto Rico
(5/21/2012)

Rhode Island
(5/21/2012)

South Carolina
(5/21/2012)

South Dakota
(11/16/2010)

Tennessee
(1/3/2012)

Texas
(11/16/2010)

Utah
(11/16/2010)

Vermont
(5/21/2012)

Virgin Islands
(5/21/2012)

Virginia
(5/21/2012)

Washington
(11/16/2010)

West Virginia
(5/21/2012)

Wisconsin
(11/16/2010)

Wyoming
(11/16/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/6/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/13/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/11/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/29/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/26/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GUGGENHEIM INVESTMENTS

CRD#: 105477 / SEC#: 801-8008

RIA

Registered Investment Advisory firm - (11/20/1971 Approved)

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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

SEC notice filing (53 States and Territories)

Documents

Latest Form ADV

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.

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Firm Stability Insights

Robert E. Coyne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Emmet Coyne's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

GUGGENHEIM DISTRIBUTORS, LLC

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NYLIFE DISTRIBUTORS LLC

LORD, ABBETT & CO. LLC

LORD ABBETT DISTRIBUTOR LLC

NATIXIS DISTRIBUTION, LLC

IFMG SECURITIES, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

GUGGENHEIM INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/2004

Series 63

Date: 7/13/1992

SIE

Date: 10/1/2018

Series 7

Date: 1/11/1997

Series 6

Date: 1/29/1992

Series 24

Date: 10/26/2007

FINRA

Current Firm

GUGGENHEIM INVESTMENTS

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

GUGGENHEIM INVESTMENTS

TRUST BUT VERIFY

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