Peter Vlagos

GUGGENHEIM INVESTMENTS

CHICAGO, IL 60606

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CRD#: 2745734

Professional summary

Peter Vlagos, who also goes by Panagiotis Vlagos, is a registered financial advisor currently at GUGGENHEIM INVESTMENTS located in Chicago, Illinois and GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in Chicago, Illinois.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Peter has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Panagiotis Vlagos

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) - RIA

Click below to view Peter Vlagos'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

March 4, 2014 - Present

GUGGENHEIM INVESTMENTS

Office #1: 227 West Monroe Suite 3700, Chicago, IL 60606

RIA

CRD#: 105477

CHICAGO, IL

Current

October 5, 2005 - Present

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Office #1: 227 West Monroe Street 7th Floor, Chicago, IL 60606

RIA

CRD#: 39805

Chicago, IL

Past

October 5, 2005 - November 4, 2008

GUGGENHEIM INVESTMENTS

RIA

CRD#: 129288

LISLE, IL

Past

March 25, 2005 - October 26, 2005

ZACKS INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 110897

CHICAGO, IL

Past

August 2, 2002 - August 12, 2004

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

ST. CHARLES, IL

Past

August 2, 2002 - August 12, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

June 18, 1996 - July 31, 2002

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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 INVESTMENTS

CRD#: 105477 / SEC#: 801-8008

RIA

Registered Investment Advisory firm - (11/20/1971 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.

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

Connecticut
(1/2/2024)

Florida
(10/25/2005)

Georgia
(8/15/2019)

Illinois
(10/5/2005)

IAR

Illinois
(3/4/2014)

Maine
(1/2/2024)

Massachusetts
(1/2/2024)

Michigan
(1/2/2025)

New Hampshire
(1/2/2024)

New York
(1/2/2024)

North Carolina
(8/15/2019)

Ohio
(1/2/2025)

Pennsylvania
(1/2/2025)

Puerto Rico
(4/10/2008)

Rhode Island
(1/2/2024)

South Carolina
(8/15/2019)

Vermont
(1/2/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/25/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/1/1996

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: 11/1/1996

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 6/17/1996

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/11/1999

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/11/1999

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

GUGGENHEIM INVESTMENTS

CRD#: 105477 / SEC#: 801-8008

RIA

Registered Investment Advisory firm - (11/20/1971 Approved)

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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

SEC notice filing (53 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	113
AUM (Assets Under Management)	$ 7,395,263,411

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Peter Vlagos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Vlagos's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

GUGGENHEIM INVESTMENTS

ZACKS INVESTMENT MANAGEMENT, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

GUGGENHEIM INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 1/25/2001

Series 63

Date: 7/1/1996

SIE

Date: 10/1/2018

Series 7

Date: 11/1/1996

Series 52

Date: 6/17/1996

Series 10

Date: 10/11/1999

Series 9

Date: 10/11/1999

FINRA

Current Firm

GUGGENHEIM INVESTMENTS

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

GUGGENHEIM INVESTMENTS

TRUST BUT VERIFY

Contact information

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