LP
Leigh A. Poggio
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT
New York, NY 10017
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CRD#: 2660890
LP
Professional summary
Leigh Ann Poggio is a registered financial advisor currently at GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC located in New York, New York and GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in New York, New York.
Leigh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Leigh has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
320-57 CORPORATION || BOARD MEMBER || RESIDENTIAL BUILDING CO-OP BOARD|| ||320 EAST 57TH STREET, NEW YORK NY 10022 || 8/2024 || 2 HRS/MO DEVOTED TO BUSINESS; 0 HRS DURING TRADING HOURS|| NOT INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Leigh Ann Poggio'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
May 17, 2013 - Present
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
Office #1: 330 Madison Avenue, New York, NY 10017RIA
CRD#: 137432
New York, NY
Current
April 16, 2015 - Present
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
Office #1: 330 Madison Ave, New York, NY 10017-5001RIA
BD
CRD#: 39805
New York, NY
Past
January 2, 2013 - April 20, 2015
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
July 2, 2010 - December 31, 2012
GUGGENHEIM DISTRIBUTORS, LLC
BD
CRD#: 40805
NEW YORK, NY
Past
April 21, 2009 - August 19, 2009
XT CAPITAL PARTNERS, LLC
BD
CRD#: 118719
NEW YORK, NY
Past
December 7, 2007 - December 31, 2008
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
NEW YORK, NY
Past
July 15, 2005 - December 7, 2007
AT INVESTOR SERVICES, INC.
BD
CRD#: 47837
NEW YORK, NY
Past
May 2, 2000 - July 15, 2005
GPC SECURITIES, INC.
BD
CRD#: 14007
ATLANTA, GA
Past
June 10, 1999 - April 17, 2000
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
October 1, 1997 - January 20, 1998
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
March 7, 1997 - June 4, 1999
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
January 12, 1996 - October 1, 1997
MONTGOMERY SECURITIES
BD
CRD#: 4357
SAN FRANCISCO, CA
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".
GP
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
GUGGENHEIM GLOBAL INVESTMENTS | GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC | GUGGENHEIM PARTNERS ASSET MANAGEMENT, LLC | GUGGENHEIM PARTNERS ASSET MANAGEMENT, INC. | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS
CRD#: 137432 / SEC#: 801-66786
RIA
Registered Investment Advisory firm - (6/14/2006 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(4/16/2015)
RR
Alaska(4/20/2015)
RR
Arizona(4/16/2015)
RR
Arkansas(4/16/2015)
IAR
California(5/17/2013)
RR
California(4/16/2015)
RR
Colorado(4/16/2015)
RR
Connecticut(4/16/2015)
RR
Delaware(4/16/2015)
RR
District of Columbia(4/16/2015)
RR
Florida(4/16/2015)
RR
Georgia(4/16/2015)
RR
Hawaii(4/16/2015)
RR
Idaho(4/16/2015)
RR
Illinois(4/16/2015)
RR
Indiana(4/20/2015)
RR
Iowa(4/16/2015)
RR
Kansas(4/16/2015)
RR
Kentucky(4/16/2015)
RR
Louisiana(4/16/2015)
RR
Maine(4/16/2015)
RR
Maryland(4/16/2015)
RR
Massachusetts(4/20/2015)
RR
Michigan(4/16/2015)
RR
Minnesota(4/16/2015)
RR
Mississippi(4/16/2015)
RR
Missouri(4/16/2015)
RR
Montana(4/16/2015)
RR
Nebraska(4/20/2015)
RR
Nevada(4/20/2015)
RR
New Hampshire(4/16/2015)
RR
New Jersey(4/16/2015)
RR
New Mexico(4/16/2015)
RR
New York(4/16/2015)
IAR
New York(10/2/2021)
RR
North Carolina(4/20/2015)
RR
North Dakota(4/16/2015)
RR
Ohio(4/20/2015)
RR
Oklahoma(4/16/2015)
RR
Oregon(4/20/2015)
RR
Pennsylvania(4/20/2015)
RR
Puerto Rico(4/16/2015)
RR
Rhode Island(4/16/2015)
RR
South Carolina(4/16/2015)
RR
South Dakota(4/16/2015)
RR
Tennessee(4/16/2015)
IAR
Texas(8/23/2013)
RR
Texas(4/16/2015)
RR
Utah(4/20/2015)
RR
Vermont(4/16/2015)
RR
Virginia(4/20/2015)
RR
Washington(4/16/2015)
RR
West Virginia(4/20/2015)
RR
Wisconsin(4/16/2015)
RR
Wyoming(4/16/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GP
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
GUGGENHEIM GLOBAL INVESTMENTS | GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC | GUGGENHEIM PARTNERS ASSET MANAGEMENT, LLC | GUGGENHEIM PARTNERS ASSET MANAGEMENT, INC. | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS
CRD#: 137432 / SEC#: 801-66786
RIA
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Contact information
Main Address
330 Madison Avenue 10th Floor, New York, NY 10017
Mailing Address
Phone number
(212) 739-0700
Established
Firm type
Fiscal year end
# of Employees
575
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 232 |
| AUM (Assets Under Management) | $ 228,739,114,272 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
CRD#: 137432New York, NY 10017TRUST BUT VERIFY
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Contact information
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