Christopher Pillsbury
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.
Christopher Pillsbury, who also goes by Chris Pillsbury, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1994. Christopher had worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2013 - May 2, 2016
GUGGENHEIM SECURITIES, LLC
January 9, 2012 - November 5, 2013
DEMATTEO RESEARCH LLC
July 28, 2011 - December 2, 2011
MF GLOBAL INC.
April 9, 2009 - November 10, 2009
PALI CAPITAL, INC.
February 22, 2005 - March 10, 2009
BANC OF AMERICA SECURITIES LLC
June 17, 2002 - February 23, 2005
J.P. MORGAN SECURITIES INC.
April 24, 2000 - June 20, 2002
GOLDMAN SACHS & CO. LLC
August 10, 1999 - April 18, 2000
THOMAS WEISEL PARTNERS LLC
August 7, 1996 - September 10, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 8, 1996 - July 10, 1996
GLOBAL MERCHANT GROUP, INC.
January 4, 1994 - January 17, 1996
CIBC WORLD MARKETS CORP.
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: 10/8/1998
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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