JC
John F. Chisholm
GUGGENHEIM INVESTMENTS
New York, NY 10017
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CRD#: 2820356
JC
Professional summary
John Frederic Chisholm is a registered financial advisor currently at GUGGENHEIM INVESTMENTS located in New York, New York and GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in New York, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. John has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 John Frederic Chisholm'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
March 4, 2014 - Present
GUGGENHEIM INVESTMENTS
Office #1: 330 Madison Avenue 10th Floor, New York, NY 10017RIA
CRD#: 105477
New York, NY
Current
May 4, 2011 - Present
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
Office #1: 330 Madison Ave, New York, NY 10017-5001RIA
BD
CRD#: 39805
New York, NY
Past
May 16, 2006 - April 28, 2011
PGIM INVESTMENTS LLC
RIA
CRD#: 105670
NEWARK, NJ
Past
July 13, 2005 - April 28, 2011
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
December 17, 2003 - June 30, 2005
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
SHELTON, CT
Past
May 4, 2000 - December 31, 2001
NATIXIS DISTRIBUTION, LLC
BD
CRD#: 34754
BOSTON, MA
Past
June 10, 1998 - April 28, 2000
LOOMIS SAYLES DISTRIBUTORS, L.P.
BD
CRD#: 41795
BOSTON, MA
Past
January 22, 1998 - March 6, 1998
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
Past
November 20, 1996 - October 30, 1997
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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 INVESTMENTS
6TH AVENUE INVESTMENT MANAGEMENT COMPANY | SECURITY MANAGEMENT COMPANY, LLC | SECURITY INVESTORS, LLC | SECURITY GLOBAL INVESTORS | RYDEX|SGI | RYDEX INVESTMENTS | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS | 6TH AVENUE INVESTMENT MANAGEMENT COMPANY, LLC
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.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(11/1/2023)
RR
Alaska(11/1/2023)
RR
Arizona(11/1/2023)
RR
Arkansas(11/1/2023)
RR
California(11/1/2023)
RR
Colorado(11/1/2023)
RR
Connecticut(11/1/2023)
RR
Delaware(11/1/2023)
RR
District of Columbia(11/1/2023)
RR
Florida(5/3/2021)
RR
Georgia(2/28/2022)
RR
Hawaii(11/1/2023)
RR
Idaho(11/1/2023)
RR
Illinois(5/4/2011)
IAR
Illinois(3/4/2014)
RR
Indiana(11/1/2023)
RR
Iowa(11/1/2023)
RR
Kansas(11/1/2023)
RR
Kentucky(11/1/2023)
RR
Louisiana(11/1/2023)
RR
Maine(11/1/2023)
RR
Maryland(11/1/2023)
RR
Massachusetts(11/1/2023)
RR
Michigan(11/1/2023)
RR
Minnesota(11/1/2023)
RR
Mississippi(11/1/2023)
RR
Missouri(11/1/2023)
RR
Montana(11/1/2023)
RR
Nebraska(11/1/2023)
RR
Nevada(11/1/2023)
RR
New Hampshire(11/1/2023)
RR
New Jersey(6/14/2018)
RR
New Mexico(11/1/2023)
RR
New York(5/4/2011)
IAR
New York(8/26/2021)
RR
North Carolina(2/28/2022)
RR
North Dakota(11/1/2023)
RR
Ohio(11/2/2023)
RR
Oklahoma(11/1/2023)
RR
Oregon(11/1/2023)
RR
Pennsylvania(11/1/2023)
RR
Puerto Rico(11/1/2023)
RR
Rhode Island(11/1/2023)
RR
South Carolina(2/28/2022)
RR
South Dakota(11/1/2023)
RR
Tennessee(11/1/2023)
RR
Texas(11/1/2023)
RR
Utah(11/1/2023)
RR
Vermont(11/1/2023)
RR
Virgin Islands(11/1/2023)
RR
Virginia(1/20/2021)
RR
Washington(11/1/2023)
RR
West Virginia(11/1/2023)
RR
Wisconsin(11/1/2023)
RR
Wyoming(11/1/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GI
GUGGENHEIM INVESTMENTS
6TH AVENUE INVESTMENT MANAGEMENT COMPANY | SECURITY MANAGEMENT COMPANY, LLC | SECURITY INVESTORS, LLC | SECURITY GLOBAL INVESTORS | RYDEX|SGI | RYDEX INVESTMENTS | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS | 6TH AVENUE INVESTMENT MANAGEMENT COMPANY, LLC
CRD#: 105477 / SEC#: 801-8008
RIA
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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
20
SEC notice filing (53 States and Territories)
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.
