Jeffrey S. Haise
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.
Jeffrey Scott Haise, who also goes by Jeffrey Haise, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1993. Jeffrey had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 3 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
June 2, 2016 - April 20, 2017
GUGGENHEIM SECURITIES, LLC
March 4, 2013 - May 27, 2016
VIRTU ITG LLC
June 13, 2011 - March 19, 2013
NOMURA SECURITIES INTERNATIONAL, INC.
September 9, 2009 - June 13, 2011
DEUTSCHE BANK SECURITIES INC.
January 30, 2009 - September 17, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 2, 2003 - February 2, 2009
BANC OF AMERICA SECURITIES LLC
November 20, 1995 - August 26, 2003
GOLDMAN SACHS & CO. LLC
November 5, 1993 - October 10, 1995
ROSENBLATT SECURITIES 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: 10/12/1998
Limited Representative-Equity Trader ExamCurrent 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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