Kenneth Murai
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.
Kenneth Murai, who also goes by Kenneth Richard Murai, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1996. Kenneth had worked at 9 firms and has passed the Series 63, Series 65, Series 66, Series 52TO, Series 79TO, SIE, Series 87, Series 7, Series 6, Series 53 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2025 - August 5, 2026
GUGGENHEIM SECURITIES, LLC
February 22, 2010 - September 26, 2025
CITIZENS JMP SECURITIES, LLC
March 20, 2009 - June 30, 2009
PACIFIC GROWTH EQUITY MANAGEMENT, LLC
March 4, 2009 - February 24, 2010
WEDBUSH SECURITIES INC.
November 25, 2008 - July 8, 2009
PACIFIC GROWTH EQUITIES, LLC
August 5, 2008 - November 24, 2008
WELLS FARGO SECURITIES, LLC
March 4, 2008 - May 21, 2008
PACIFIC GROWTH EQUITIES, LLC
September 25, 2003 - October 8, 2004
HARRISDIRECT LLC
May 1, 2002 - October 8, 2004
HARRISDIRECT LLC
March 29, 1999 - May 1, 2002
HARRIS INVESTORLINE INC.
August 2, 1996 - October 16, 1998
GT GLOBAL, INC.
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
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent 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 |
| SIRNA, KRISTINE M | CHIEF OPERATIONS PRINCIPAL & PRINCIPAL OPERATIONS OFFICER | 5971785 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
