Amy Brod
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.
Amy Brod, who also goes by Amy Kristen Brod, was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 1997. Amy had worked at 9 firms and has passed the SIE, Series 16, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2016 - February 25, 2019
GUGGENHEIM SECURITIES, LLC
July 30, 2014 - October 26, 2016
HSBC SECURITIES (USA) INC.
September 20, 2011 - July 16, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 2008 - September 13, 2011
BARCLAYS CAPITAL INC.
May 23, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
September 18, 2000 - May 20, 2005
GOLDMAN SACHS & CO. LLC
September 1, 1998 - August 25, 2000
ROBERTSON STEPHENS, INC.
October 1, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
July 8, 1997 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
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 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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