Alexander Y. Draper
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.
Alexander Yearley Draper, who also goes by Sandy Draper, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1996. Alexander had worked at 8 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2021 - September 19, 2023
GUGGENHEIM SECURITIES, LLC
February 14, 2014 - August 15, 2021
TRUIST SECURITIES, INC.
April 16, 2007 - January 15, 2014
RAYMOND JAMES & ASSOCIATES, INC.
May 20, 2005 - April 11, 2007
CITIZENS JMP SECURITIES, LLC
May 28, 2004 - May 16, 2005
SOLEIL SECURITIES CORPORATION
May 15, 2003 - March 24, 2004
DEUTSCHE BANK SECURITIES INC.
July 27, 2001 - May 14, 2003
TRUIST SECURITIES, INC.
June 28, 2000 - July 27, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
August 13, 1998 - March 14, 2000
THE ROBINSON-HUMPHREY COMPANY, LLC
October 24, 1996 - June 25, 1998
ROTH CAPITAL PARTNERS, LLC
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 SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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