DD
Dina M. Dilorenzo
GUGGENHEIM INVESTMENT ADVISORS
New York, NY 10017
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CRD#: 2664787
DD
Professional summary
Dina Marie Dilorenzo, who also goes by Dina Dilorenzo, is a registered financial advisor currently at GUGGENHEIM INVESTMENT ADVISORS, LLC located in New York, New York and GUGGENHEIM INVESTOR SERVICES, LLC located in Chicago, Illinois.
Dina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Dina has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 79TO, SIE, Series 32, Series 3, Series 7, Series 30, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dina Dilorenzo
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) - RIA
Click below to view Dina Marie Dilorenzo'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 18, 2005 - Present
GUGGENHEIM INVESTMENT ADVISORS, LLC
Office #1: 330 Madison Avenue, New York, NY 10017RIA
CRD#: 108263
New York, NY
Current
April 14, 2005 - Present
GUGGENHEIM INVESTOR SERVICES, LLC
Office #1: 227 West Monroe Street, Chicago, IL 60606Office #2: 330 Madison Avenue, New York, NY 10017Office #3: 100 Wilshire Boulevard, Santa Monica, CA 90401Office #4: 1 N. Brentwood Blvd. Suite 910, St. Louis, MO 63105Office #5: 300 First Stamford Place Suite 300, Stamford, CT 06902BD
CRD#: 30096
Chicago, IL
Current
April 20, 2017 - Present
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
Office #1: 100 Wilshire Blvd Suite 500, Santa Monica, CA 90401Office #2: 300 First Stamford Place Suite 300, Stamford, CT 06902Office #3: 330 Madison Ave, New York, NY 10017-5001RIA
BD
CRD#: 39805
Santa Monica, CA
Past
May 11, 2005 - October 6, 2005
ASSET CONSULTING GROUP, LLC
RIA
CRD#: 107574
ST. LOUIS, MO
Past
December 27, 2000 - April 11, 2005
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SAN FRANCISCO, CA
Past
December 18, 2000 - April 11, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
November 2, 1998 - December 22, 2000
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
January 26, 1998 - October 7, 1998
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
April 29, 1997 - January 30, 1998
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Past
March 19, 1996 - May 9, 1997
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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".
GI
GUGGENHEIM INVESTMENT ADVISORS, LLC
ABS FINANCIAL ADVISORS INC | GUGGENHEIM WEALTH MANAGEMENT | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENT OFFICE | GUGGENHEIM INVESTMENT ADVISORY SOLUTIONS | GUGGENHEIM INVESTMENT ADVISORY | GUGGENHEIM INVESTMENT ADVISORS, LLC | GUGGENHEIM INVESTMENT ADVISORS, INC.
CRD#: 108263 / SEC#: 801-57781
RIA
Registered Investment Advisory firm - (7/18/2000 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(6/20/2017)
RR
Alaska(7/24/2017)
RR
Arizona(6/20/2017)
RR
Arkansas(6/20/2017)
RR
California(4/14/2005)
RR
Colorado(6/20/2017)
RR
Connecticut(4/14/2005)
IAR
Connecticut(2/6/2025)
RR
Delaware(6/20/2017)
RR
District of Columbia(6/20/2017)
RR
Florida(6/20/2017)
RR
Georgia(6/20/2017)
RR
Hawaii(6/20/2017)
RR
Idaho(6/20/2017)
RR
Illinois(4/14/2005)
IAR
Illinois(2/2/2010)
RR
Indiana(7/25/2017)
RR
Iowa(6/20/2017)
RR
Kansas(6/20/2017)
RR
Kentucky(6/20/2017)
RR
Louisiana(6/20/2017)
RR
Maine(6/20/2017)
RR
Maryland(6/20/2017)
RR
Massachusetts(7/19/2017)
RR
Michigan(6/20/2017)
RR
Minnesota(6/20/2017)
RR
Mississippi(6/20/2017)
RR
Missouri(4/14/2005)
RR
Montana(1/10/2012)
RR
Nebraska(6/20/2017)
RR
New Hampshire(6/20/2017)
RR
New Jersey(6/20/2017)
RR
New Mexico(6/20/2017)
RR
New York(4/14/2005)
IAR
New York(2/17/2025)
RR
North Dakota(6/20/2017)
RR
Ohio(6/20/2017)
RR
Oklahoma(6/20/2017)
RR
Oregon(9/10/2012)
RR
Pennsylvania(2/23/2007)
RR
Puerto Rico(6/20/2017)
RR
Rhode Island(10/22/2009)
RR
South Carolina(6/20/2017)
RR
South Dakota(6/20/2017)
RR
Tennessee(6/20/2017)
RR
Texas(4/14/2005)
RR
Utah(7/19/2017)
RR
Vermont(6/20/2017)
RR
Virgin Islands(6/20/2017)
RR
Virginia(7/20/2017)
RR
Washington(6/20/2017)
RR
West Virginia(7/21/2017)
RR
Wisconsin(6/20/2017)
RR
Wyoming(3/9/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 3/25/2019
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GI
GUGGENHEIM INVESTMENT ADVISORS, LLC
ABS FINANCIAL ADVISORS INC | GUGGENHEIM WEALTH MANAGEMENT | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENT OFFICE | GUGGENHEIM INVESTMENT ADVISORY SOLUTIONS | GUGGENHEIM INVESTMENT ADVISORY | GUGGENHEIM INVESTMENT ADVISORS, LLC | GUGGENHEIM INVESTMENT ADVISORS, INC.
CRD#: 108263 / SEC#: 801-57781
RIA
Registered Investment Advisory firm - (7/18/2000 Approved)PREMIUM
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Contact information
Main Address
330 Madison Avenue 10th Floor, New York, NY 10017
Mailing Address
Phone number
(866) 285-3655
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 54 |
| AUM (Assets Under Management) | $ 521,966,834 |
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.
