Kenneth Howard Tollmann JR

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Contact Information

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Disclosures on record.

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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Years of Experience

32 years registered in the securities industry

Current & Past Employments

Current

GUGGENHEIM FUNDS DISTRIBUTORS, LLCCurrent·CRD# 39805

RIA

BD

227 West Monroe Street 7th Floor, Chicago, IL 60606

March 3, 2014 - Present

Past

GUGGENHEIM DISTRIBUTORS, LLCPast·CRD# 40805

BD

Rockville, MD

January 4, 2013 - March 3, 2014

GUGGENHEIM FUNDS DISTRIBUTORS, LLCPast·CRD# 39805

BD

Chicago, IL

October 24, 2011 - January 11, 2013

MORGAN STANLEY DISTRIBUTION, INC.Past·CRD# 30344

BD

San Francisco, CA

February 13, 2004 - May 16, 2011

INVESCO CAPITAL MARKETS, INC.Past·CRD# 6939

BD

Oakbrook Terrace, IL

February 18, 2004 - June 12, 2007

MORGAN STANLEY & CO. LLCPast·CRD# 8209

BD

New York, NY

May 9, 2001 - February 13, 2004

MORGAN STANLEY DISTRIBUTION, INC.Past·CRD# 30344

BD

New York, NY

February 10, 1999 - March 27, 2001

MAM SECURITIES, LLCPast·CRD# 41140

BD

San Francisco, CA

August 12, 1997 - October 8, 1998

FRANKLIN/TEMPLETON DISTRIBUTORS, LLCPast·CRD# 332

BD

San Mateo, CA

July 6, 1994 - September 25, 1997

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Current Firm

GF

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805 / SEC#: 801-54810, 8-48842

RIA

Registered Investment Advisory firm - SEC (8/26/1997 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Contact Information

Main Address

227 West Monroe Street 7th Floor, Chicago, IL 60606

Mailing Address

702 King Farm Blvd Ste 200, Rockville, MD 20850

Phone Number

(312) 357-0287

Established

Delaware since 11/09/1995

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

# of Employees

245

SEC notice filing (2 States and Territories)

Registered to provide investment advisory services in 2 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 2 US states and territories.

Documents

Latest Form ADV

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

290

AUM (Assets Under Management)

$7,800,735,582

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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".

GF

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805 / SEC#: 801-54810, 8-48842

RIA

Registered Investment Advisory firm - SEC (8/26/1997 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(3/3/2014)

RR

Alaska
(3/3/2014)

RR

Arizona
(3/3/2014)

RR

Arkansas
(3/3/2014)

RR

California
(3/3/2014)

RR

Colorado
(3/3/2014)

RR

Connecticut
(3/3/2014)

RR

Delaware
(3/3/2014)

RR

District of Columbia
(3/3/2014)

RR

Florida
(3/3/2014)

RR

Georgia
(3/3/2014)

RR

Hawaii
(3/3/2014)

RR

Idaho
(3/3/2014)

RR

Illinois
(3/3/2014)

RR

Indiana
(3/3/2014)

RR

Iowa
(3/3/2014)

RR

Kansas
(3/3/2014)

RR

Kentucky
(3/3/2014)

RR

Louisiana
(3/3/2014)

RR

Maine
(3/3/2014)

RR

Maryland
(3/3/2014)

RR

Massachusetts
(3/3/2014)

RR

Michigan
(3/3/2014)

RR

Minnesota
(3/3/2014)

RR

Mississippi
(3/3/2014)

RR

Missouri
(3/3/2014)

RR

Montana
(3/3/2014)

RR

Nebraska
(3/3/2014)

RR

Nevada
(3/3/2014)

RR

New Hampshire
(3/3/2014)

RR

New Jersey
(3/3/2014)

RR

New Mexico
(3/3/2014)

RR

New York
(3/3/2014)

RR

North Carolina
(3/3/2014)

RR

North Dakota
(3/3/2014)

RR

Ohio
(3/3/2014)

RR

Oklahoma
(3/3/2014)

RR

Oregon
(3/3/2014)

RR

Pennsylvania
(3/3/2014)

RR

Puerto Rico
(3/3/2014)

RR

Rhode Island
(3/3/2014)

RR

South Carolina
(3/3/2014)

RR

South Dakota
(3/3/2014)

RR

Tennessee
(3/3/2014)

RR

Texas
(3/3/2014)

RR

Utah
(3/3/2014)

RR

Vermont
(3/3/2014)

RR

Virginia
(3/3/2014)

RR

Washington
(3/3/2014)

RR

West Virginia
(3/3/2014)

RR

Wisconsin
(3/3/2014)

RR

Wyoming
(3/3/2014)

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.