KT
Kenneth H. Tollmann
GUGGENHEIM FUNDS DISTRIBUTORS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2472902
KT
Professional summary
Kenneth Howard Tollmann JR, who also goes by Ken Howard Tollman, Ken Howard Tollmann Jr, Ken Howard Tollmann, Kenneth Howard Tollmann, is a registered financial professional currently at GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in Chicago, Illinois.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1994. Kenneth has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ken Howard Tollman | Ken Howard Tollmann Jr | Ken Howard Tollmann | Kenneth Howard Tollmann
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.
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Howard Tollmann JR'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®
NoneExperience
Current
March 3, 2014 - Present
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
Office #1: 227 West Monroe Street 7th Floor, Chicago, IL 60606RIA
BD
CRD#: 39805
Chicago, IL
Past
January 4, 2013 - March 3, 2014
GUGGENHEIM DISTRIBUTORS, LLC
BD
CRD#: 40805
ROCKVILLE, MD
Past
October 24, 2011 - January 11, 2013
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
BD
CRD#: 39805
CHICAGO, IL
Past
February 18, 2004 - June 12, 2007
INVESCO CAPITAL MARKETS, INC.
BD
CRD#: 6939
OAKBROOK TERRACE, IL
Past
February 13, 2004 - May 16, 2011
MORGAN STANLEY DISTRIBUTION, INC.
BD
CRD#: 30344
SAN FRANCISCO, CA
Past
May 9, 2001 - February 13, 2004
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
February 10, 1999 - March 27, 2001
MORGAN STANLEY DISTRIBUTION, INC.
BD
CRD#: 30344
NEW YORK, NY
Past
August 12, 1997 - October 8, 1998
MAM SECURITIES, LLC
BD
CRD#: 41140
SAN FRANCISCO, CA
Past
July 6, 1994 - September 25, 1997
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
BD
CRD#: 332
SAN MATEO, CA
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
CLAYMORE SECURITIES, INC. | RANSON & ASSOCIATES INC. | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS | GUGGENHEIM GLOBAL INVESTMENTS | GUGGENHEIM FUNDS DISTRIBUTORS, LLC | GUGGENHEIM FUNDS DISTRIBUTORS, INC. | GUGGENHEIM
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GF
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
CLAYMORE SECURITIES, INC. | RANSON & ASSOCIATES INC. | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS | GUGGENHEIM GLOBAL INVESTMENTS | GUGGENHEIM FUNDS DISTRIBUTORS, LLC | GUGGENHEIM FUNDS DISTRIBUTORS, INC. | GUGGENHEIM
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)
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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
250
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
