Lorette F. Ziegler
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lorette F Ziegler, who also goes by Lorette Gustin, Lorette Fl Ziegler, was a registered financial professional .
Lorette is a previously registered financial professional and started their career in finance in 1995. Lorette had worked at 2 firms and has passed the SIE, Series 6 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2011 - August 21, 2012
GUGGENHEIM DISTRIBUTORS, LLC
December 18, 1995 - December 14, 2018
SECURITY DISTRIBUTORS
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
Current Firm
GUGGENHEIM DISTRIBUTORS, LLC
CRD#: 40805 / SEC#: , 8-49200
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RYDEX HOLDINGS, LLC | 100% MEMBERSHIP INTEREST | |
| BELDEN, WILLIAM HINCHLIFFE III | VICE PRESIDENT | 1693322 |
| CACCIAPAGLIA, DONALD CHRISTOPHER | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1396644 |
| JACQUES, JULIE ANN | FINOP | 5212910 |
| JACQUES, JULIE ANN | TREASURER | 5212910 |
| LEE, AMY JO | SECRETARY | 1161869 |
| LEE, AMY JO | VICE PRESIDENT | 1161869 |
| MANGINI, DOUGLAS C | VICE PRESIDENT | 1414476 |
| MCGOVERN, KEVIN MICHAEL | VICE PRESIDENT | 1745533 |
| METZGER, DENNIS RYAN | ASSISTANT CHIEF COMPLIANCE OFFICER | 4888899 |
| MILLER, ELISABETH ANN | CHIEF COMPLIANCE OFFICER | 4381813 |
| WORF, JEFFREY ALLEN | VICE PRESIDENT | 1416591 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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