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EC

Evan J. Charne

Some features on this profile are disabled
CRD#: 3091088
EC

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.

Evan Jay Charne, who also goes by Evan Charne, was a registered financial professional .

Evan is a previously registered financial professional and started their career in finance in 1998. Evan had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Evan Charne

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 1, 2014 - May 14, 2018

GUGGENHEIM INVESTMENTS

RIA
CRD#: 105477
NEW YORK, NY
Past

May 1, 2013 - May 14, 2018

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
NEW YORK, NY
Past

June 1, 2009 - May 2, 2013

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

September 7, 2005 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

March 9, 2005 - September 1, 2005

KNIGHT CAPITAL MARKETS LLC

BD
CRD#: 38379
PURCHASE, NY
Past

March 22, 2004 - September 1, 2005

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

May 9, 2003 - March 31, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

August 31, 1998 - October 3, 2002

ICAPITAL MARKETS LLC

BD
CRD#: 5209
OMAHA, NE

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/11/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/18/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/14/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/8/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/29/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/15/2001
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/1/2000
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/16/1999
General Securities Principal Examination

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
Registered Investment Advisory firm - (11/20/1971 Approved)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts113
AUM (Assets Under Management)$ 7,395,263,411

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.

Company Information

GUGGENHEIM INVESTMENTS

CRD#: 105477

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