Richard H. Onkey
Professional summary
Richard Hugh Onkey, who also goes by Rick Onkey, Richard Onkey, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1997. Richard has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Hugh Onkey's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 6, 2017 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017July 1, 2014 - September 11, 2017
LLOYDS SECURITIES
February 13, 2012 - May 29, 2014
PNC CAPITAL MARKETS LLC
March 24, 2011 - December 5, 2011
MF GLOBAL INC.
September 30, 2009 - January 5, 2010
SSC NY CORP.
January 20, 2006 - July 23, 2009
UBS SECURITIES LLC
August 23, 2001 - January 25, 2006
MORGAN STANLEY & CO. LLC
June 27, 2000 - August 30, 2000
MORGAN STANLEY & CO. LLC
February 2, 1998 - July 31, 1998
FIRST UNION CAPITAL MARKETS CORP.
July 2, 1997 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
