AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CB

Christopher G. Bradley

GUGGENHEIM INVESTMENTS
Houston, TX 77077
Some features on this profile are disabled
CRD#: 2347582
CB

Professional summary

Christopher George Bradley, who also goes by Chris Bradley, Christopher G Bradley, is a registered financial advisor currently at GUGGENHEIM INVESTMENTS located in Houston, Texas and GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in Chicago, Illinois.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Christopher has worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Chris Bradley | Christopher G Bradley

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 Christopher George Bradley'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

Office #1: 12850 Whittington Drive Apt. 117, Houston, TX 77077
RIA
CRD#: 105477
Houston, TX
Current

December 10, 2009 - Present

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Office #1: 227 West Monroe Street 7th Floor, Chicago, IL 60606
RIA
BD
CRD#: 39805
Chicago, IL
Past

September 14, 2005 - October 12, 2009

ALLSPRING GLOBAL INVESTMENTS, LLC

RIA
CRD#: 104973
SAN FRANCISCO, CA
Past

August 27, 2002 - December 2, 2004

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

August 26, 2002 - December 2, 2004

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
NAPERVILLE, IL
Past

September 27, 1993 - February 16, 2001

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL

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
Arkansas
(11/8/2013)
RR
Illinois
(12/10/2009)
IAR
Illinois
(3/4/2014)
RR
Louisiana
(6/22/2012)
RR
New Mexico
(8/21/2013)
RR
Oklahoma
(1/3/2017)
RR
Texas
(6/22/2012)
IAR
Texas
(2/12/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/11/2009
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/2/1996
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/9/2009
General Securities Representative Examination
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts113
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.

Company Information

GUGGENHEIM INVESTMENTS

CRD#: 105477Houston, TX 77077

TRUST BUT VERIFY

Monitor Christopher Bradley

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Troy Lynn Wootton Jr
Troy WoottonAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Sugar Land, TX
Darren Dindinger
Darren DindingerAdvisorCheck Check Mark
ALLWORTH FINANCIAL, L.P.
IAR
RR
Orting, WA
LW
Li-e WangAdvisorCheck Check Mark
TRANSAMERICA FINANCIAL ADVISORS, LLC
RR
Houston, TX
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics