Kathleen R. Schneider
Professional summary
Kathleen Rae Schneider, who also goes by Kathleen Rae Jackson, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1998. Kathleen has worked at 11 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Rae Schneider's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 23, 2023 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017February 8, 2023 - May 31, 2023
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 4, 2017 - December 20, 2022
BERENBERG CAPITAL MARKETS LLC
October 6, 2016 - June 28, 2017
RBC CAPITAL MARKETS, LLC
January 2, 2013 - October 12, 2016
BB&T SECURITIES, LLC
April 6, 2010 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
January 22, 2004 - April 1, 2010
SOLEIL SECURITIES CORPORATION
January 9, 2001 - June 6, 2002
SOUNDVIEW TECHNOLOGY CORPORATION
August 21, 2000 - November 28, 2000
CREDIT SUISSE CAPITAL LLC
April 7, 2000 - August 21, 2000
CREDIT SUISSE SECURITIES (USA) LLC
October 23, 1998 - March 31, 2000
CITIGROUP GLOBAL MARKETS 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
(5/23/2023)
Exams
FINRA
Nasdaq Stock Market
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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