BS
Budd J. Scheffler
GUGGENHEIM FUNDS DISTRIBUTORS
Chicago, IL 60606
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CRD#: 2561424
BS
Professional summary
Budd Jason Scheffler, AIF® is a registered financial professional currently at GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in Chicago, Illinois.
Budd is registered as a RR (Registered Representative) and started their career in finance in 1995. Budd has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Budd Jason Scheffler'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®
Experience
Current
October 5, 2009 - Present
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
Office #1: 227 West Monroe Street 7th Floor, Chicago, IL 60606RIA
BD
CRD#: 39805
Chicago, IL
Past
January 9, 2008 - July 27, 2009
OLD MUTUAL INVESTMENT PARTNERS
BD
CRD#: 44916
BOSTON, MA
Past
February 2, 2006 - December 13, 2007
SENTINEL FINANCIAL SERVICES COMPANY
BD
CRD#: 31175
MONTPELIER, VT
Past
February 17, 2004 - December 13, 2005
AMG DISTRIBUTORS, INC.
BD
CRD#: 27314
STAMFORD, CT
Past
November 10, 1997 - February 10, 2004
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 840
BOSTON, MA
Past
June 12, 1996 - July 1, 1997
FRED ALGER & COMPANY, LLC
BD
CRD#: 5300
NEW YORK, NY
Past
January 3, 1995 - March 14, 1996
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
NEW YORK, NY
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
Connecticut(1/3/2012)
RR
Illinois(10/5/2009)
RR
New York(10/5/2009)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
