Robert A. Saperstein
Professional summary
Robert Andrew Saperstein is a registered financial professional currently at GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in New York, New York and GUGGENHEIM INVESTOR SERVICES, LLC located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1997. Robert has worked at 7 firms and has passed the Series 7TO, SIE, Series 7, Series 24, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Andrew Saperstein's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 27, 2023 - Present
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
Office #1: 330 Madison Ave, New York, NY 10017-5001September 23, 2024 - Present
GUGGENHEIM INVESTOR SERVICES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017August 15, 2013 - March 1, 2023
GUGGENHEIM SECURITIES, LLC
July 25, 2012 - July 29, 2013
GUGGENHEIM SECURITIES, LLC
January 17, 2012 - July 10, 2012
CANTOR FITZGERALD & CO.
April 1, 2008 - April 19, 2011
GDK, INC.
November 22, 2000 - February 14, 2005
GOLDMAN SACHS & CO. LLC
March 5, 1997 - November 21, 2000
J.P. MORGAN SECURITIES LLC
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 8
Date: 6/3/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
GUGGENHEIM INVESTOR SERVICES, LLC
CRD#: 30096 / SEC#: , 8-44742
Contact information
FINRA licenses (13 States and Territories)
Documents
Red Flags
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