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MO

Mildred O'donnell

GUGGENHEIM SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 2575556
MO

Professional summary

Mildred O'donnell, who also goes by Milli O'donnell, Mildred Odonnell, Mildred Sciarrone, Mildred Sciarrone, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.

Mildred is registered as a RR (Registered Representative) and started their career in finance in 1995. Mildred has worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, Series 79TO, SIE, Series 57, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Milli O'donnell | Mildred Odonnell | Mildred Sciarrone | Mildred Sciarrone

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 Mildred O'donnell'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

November 19, 2025 - Present

GUGGENHEIM SECURITIES, LLC

Office #1: 330 Madison Avenue, New York, NY 10017
BD
CRD#: 40638
New York, NY
Past

July 27, 2017 - December 12, 2025

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY
Past

January 10, 2014 - August 9, 2017

THE BENCHMARK COMPANY, LLC

BD
CRD#: 22982
NEW YORK, NY
Past

May 1, 2013 - January 2, 2014

GLOBAL HUNTER SECURITIES, LLC

BD
CRD#: 123003
NEW YORK, NY
Past

May 1, 2013 - January 2, 2014

GHS TRADING LLC

BD
CRD#: 158195
NEW YORK, NY
Past

July 12, 2010 - May 2, 2013

GILFORD FINANCIAL CORP.

RIA
CRD#: 126593
NEW YORK, NY
Past

September 26, 2003 - May 2, 2013

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
MELVILLE, NY
Past

March 24, 2003 - September 12, 2003

BENCHMARK SECURITIES GROUP, INC.

BD
CRD#: 103760
OKLAHOMA CITY, OK
Past

February 24, 1998 - April 10, 2003

FIRST SECURITY INVESTMENTS, INC.

BD
CRD#: 24035
KINGSTON, PA
Past

December 18, 1996 - March 2, 1998

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY
Past

July 20, 1995 - December 23, 1996

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO

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
New York
(11/19/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/6/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/25/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 57
Date: 2/27/2018
Securities Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/19/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/12/2007
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/26/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

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

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LINKS HOLDINGS, LLCMEMBER
GUGGENHEIM MANAGER, INC.MANAGING MEMBER
LOWERY WHILLE, TRACYCHIEF COMPLIANCE OFFICER2872693
MILLSTEIN, JAMES E.CO-CHARIMAN4270577
SCHWARTZ, ALAN DAVIDCO-CHAIRMAN416184
SCHWARTZ, ANDREW JONCHIEF FINANCIAL OFFICER5121914
SIRNA, KRISTINE MCHIEF OPERATIONS PRINCIPAL & PRINCIPAL OPERATIONS OFFICER5971785
TSOU, SUSANFINOP & PRINCIPAL FINANCIAL OFFICER6187001
VAN LITH, MARK ALANCHEIF EXECUTIVE OFFICER2263510

Disclosures

Regulatory Event10

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.

Company Information

GUGGENHEIM SECURITIES, LLC

CRD#: 40638New York, NY 10017

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