Robert A. Ranges
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.
Robert Arthur Ranges JR, who also goes by Robert Arthur Ranges, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2016 - June 23, 2017
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
September 19, 2014 - April 25, 2016
FORESIDE FUND SERVICES, LLC
October 29, 2009 - December 31, 2012
ATHENE SECURITIES, LLC
March 18, 2003 - July 25, 2008
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
February 24, 2000 - February 10, 2003
WILSHIRE ASSOCIATES INCORPORATED
October 28, 1997 - February 18, 2000
NEUBERGER BERMAN BD LLC
April 20, 1994 - October 28, 1997
METROPOLITAN LIFE INSURANCE COMPANY
April 20, 1994 - October 28, 1997
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
CRD#: 39805 / SEC#: 801-54810, 8-48842
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
Current Firm
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
CRD#: 39805 / SEC#: 801-54810, 8-48842
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GUGGENHEIM FUNDS SERVICES, LLC | MEMBER | |
| CHAN, YING | FINANCIAL AND OPERATIONS PRINCIPAL | 4956885 |
| COGLIANDRO, DOMINICK NMN | CHIEF OPERATING OFFICER, UNIT INVESTMENT TRUST BUSINESS | 1490945 |
| DILORENZO, DINA MARIE | PRESIDENT OF THE BROKER DEALER, GUGGENHEIM FUNDS DISTRIBUTORS, LLC | 2664787 |
| LEE, AMY JO | GENERAL COUNSEL, SECRETARY, AND SENIOR MANAGING DIRECTOR | 1161869 |
| METZGER, DENNIS RYAN | CHIEF COMPLIANCE OFFICER | 4888899 |
| MILLER, ELISABETH ANN | SENIOR MANAGING DIRECTOR | 4381813 |
| PARISI, CHRISTOPHER VITO | HEAD OF DISTRIBUTION, SENIOR MANAGING DIRECTOR | 2410528 |
Regulatory assets under management
| Total Number of Accounts | 279 |
| AUM (Assets Under Management) | $ 6,850,185,742 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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