Stephen A. Scarpino

GUGGENHEIM FUNDS DISTRIBUTORS

Rockville, MD 20850

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CRD#: 2654035

Professional summary

Stephen Anthony Scarpino, who also goes by Steve Scarino, Stephen Anthony Scarpino, Stephen Scarpino, Steve Scarpino, is a registered financial professional currently at GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in Rockville, Maryland.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1996. Stephen has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve Scarino | Stephen Anthony Scarpino | Stephen Scarpino | Steve Scarpino

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 Stephen Anthony Scarpino'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®

None

Experience

Current

July 15, 2024 - Present

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Office #1: 702 King Farm Blvd Ste 200, Rockville, MD 20850

RIA

CRD#: 39805

Rockville, MD

Past

October 14, 2015 - July 10, 2024

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

Owings Mills, MD

Past

September 28, 2012 - January 24, 2013

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819

HARTFORD, CT

Past

September 27, 2012 - September 15, 2015

HARTFORD FUNDS DISTRIBUTORS, LLC

CRD#: 45995

RADNOR, PA

Past

April 28, 2009 - September 12, 2012

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

STAMFORD, CT

Past

March 28, 1996 - June 24, 1996

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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".

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805 / SEC#: 801-54810, 8-48842

RIA

Registered Investment Advisory firm - SEC (8/26/1997 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/27/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/27/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/27/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/13/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805 / SEC#: 801-54810, 8-48842

RIA

Registered Investment Advisory firm - SEC (8/26/1997 Approved)

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)

Documents

Latest Form ADV

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

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Advisor Monitoring

Firm Stability Insights

Stephen A. Scarpino

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Anthony Scarpino's CRS (Customer Relationship Summary).

Certified licenses

Experience

T. ROWE PRICE INVESTMENT SERVICES, INC.

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

HARTFORD FUNDS DISTRIBUTORS, LLC

FRANKLIN DISTRIBUTORS, LLC

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/27/1995

SIE

Date: 10/1/2018

Series 7

Date: 4/27/2009

Series 6

Date: 9/27/1995

Series 24

Date: 7/13/2009

FINRA

Current Firm

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

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