JG
Jessica Gray
GUGGENHEIM SECURITIES
Charlotte, NC
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CRD#: 2604301
JG
Professional summary
Jessica Gray, who also goes by Jessica Tisdale Gray, Jessica Sanborn Tisdale, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in Charlotte, North Carolina.
Jessica is registered as a RR (Registered Representative) and started their career in finance in 1995. Jessica has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jessica Tisdale Gray | Jessica Sanborn Tisdale
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 Jessica Gray'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
October 27, 2023 - Present
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
Charlotte, NC
Past
July 1, 2003 - August 9, 2023
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
June 28, 1995 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 19002
CHARLOTTE, NC
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(10/27/2023)
RR
Alaska(2/28/2025)
RR
Arizona(10/27/2023)
RR
Arkansas(10/27/2023)
RR
California(10/27/2023)
RR
Colorado(10/27/2023)
RR
Connecticut(10/27/2023)
RR
Delaware(10/27/2023)
RR
District of Columbia(10/27/2023)
RR
Florida(10/27/2023)
RR
Georgia(10/27/2023)
RR
Hawaii(10/11/2024)
RR
Idaho(10/27/2023)
RR
Illinois(10/27/2023)
RR
Indiana(10/27/2023)
RR
Iowa(10/27/2023)
RR
Kansas(10/27/2023)
RR
Kentucky(10/27/2023)
RR
Louisiana(10/27/2023)
RR
Maine(10/11/2024)
RR
Maryland(10/27/2023)
RR
Massachusetts(10/27/2023)
RR
Michigan(10/27/2023)
RR
Minnesota(10/27/2023)
RR
Mississippi(10/27/2023)
RR
Missouri(10/27/2023)
RR
Montana(10/27/2023)
RR
Nebraska(10/27/2023)
RR
Nevada(10/27/2023)
RR
New Hampshire(10/27/2023)
RR
New Jersey(10/27/2023)
RR
New Mexico(10/27/2023)
RR
New York(10/27/2023)
RR
North Carolina(10/27/2023)
RR
North Dakota(10/27/2023)
RR
Ohio(10/27/2023)
RR
Oklahoma(10/27/2023)
RR
Oregon(10/27/2023)
RR
Pennsylvania(10/27/2023)
RR
Puerto Rico(2/28/2025)
RR
Rhode Island(10/27/2023)
RR
South Carolina(10/27/2023)
RR
South Dakota(10/27/2023)
RR
Tennessee(10/27/2023)
RR
Texas(10/27/2023)
RR
Utah(10/27/2023)
RR
Vermont(10/27/2023)
RR
Virginia(10/27/2023)
RR
Washington(10/27/2023)
RR
West Virginia(2/28/2025)
RR
Wisconsin(10/27/2023)
RR
Wyoming(10/11/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)
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 |
| SIRNA, KRISTINE M | CHIEF OPERATIONS PRINCIPAL & PRINCIPAL OPERATIONS OFFICER | 5971785 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
Disclosures
| Regulatory Event | 10 |
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.
