Charles M. Stucke
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.
Charles Murray Stucke was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1996. Charles had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2006 - April 8, 2015
GUGGENHEIM INVESTMENT ADVISORS, LLC
May 31, 2006 - April 8, 2015
GUGGENHEIM INVESTOR SERVICES, LLC
March 11, 2002 - April 11, 2006
MORGAN STANLEY & CO. LLC
August 14, 1996 - June 13, 2000
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
GUGGENHEIM INVESTMENT ADVISORS, LLC
CRD#: 108263 / SEC#: 801-57781
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 INVESTMENT ADVISORS, LLC
CRD#: 108263 / SEC#: 801-57781
Contact information
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
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