Ronald W. Gerber

GUGGENHEIM SECURITIES

New York, NY 10017

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CRD#: 2492576

Professional summary

Ronald Whitney Gerber is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 1994. Ronald has worked at 7 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Ronald Whitney Gerber's CRS (Customer Relationship Summary).

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

May 14, 2012 - Present

GUGGENHEIM SECURITIES, LLC

Office #1: 330 Madison Avenue, New York, NY 10017

CRD#: 40638

New York, NY

Past

January 29, 2010 - March 16, 2012

PIPER SANDLER & CO.

CRD#: 665

NEW YORK, NY

Past

December 2, 2004 - December 19, 2006

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

October 2, 2003 - November 22, 2004

GERBER, KELLY & CO. L.L.C.

CRD#: 126675

NEW YORK, NY

Past

April 9, 1998 - November 15, 2002

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

July 1, 1996 - April 9, 1998

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

August 1, 1994 - July 8, 1996

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

State Registrations and Notice Filings

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

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

New York
(5/15/2012)

Exams

State Security Law Exam

Series 63

Date: 1/29/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 1/28/2010

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 7/29/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/27/2012

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GUGGENHEIM SECURITIES, LLC

GUGGENHEIM CAPITAL MARKETS, LLC | LINKS SECURITIES LLC | LINKS SECURITIES INC. | GUGGENHEIM SECURITIES, LLC

CRD#: 40638 / SEC#: , 8-49107

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

330 Madison Avenue, New York, NY 10017

Mailing Address

330 Madison Avenue 8th Floor, New York, NY 10017

Phone number

(212) 518-9200

Established

Delaware since 01/29/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

Red Flags

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Ronald W. Gerber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald Whitney Gerber's CRS (Customer Relationship Summary).

Certified licenses

Experience

PIPER SANDLER & CO.

HSBC SECURITIES (USA) INC.

GERBER, KELLY & CO. L.L.C.

GOLDMAN SACHS & CO. LLC

UBS SECURITIES LLC

ABN AMRO SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/29/2010

SIE

Date: 10/1/2018

Series 79

Date: 1/28/2010

Series 7

Date: 7/29/1994

Series 24

Date: 7/27/2012

FINRA

Current Firm

GUGGENHEIM SECURITIES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GUGGENHEIM SECURITIES, LLC

TRUST BUT VERIFY

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