John A. Cosenza
Professional summary
John Albert Cosenza, who also goes by John Cosenza, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1999. John has worked at 12 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 25, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Albert Cosenza's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 27, 2024 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017September 22, 2025 - Present
Office #1: 875 Washington Street 4th Floor, New York, NY, 10014
November 9, 2016 - October 11, 2023
GOLDMAN SACHS & CO. LLC
March 13, 2013 - September 19, 2016
COWEN AND COMPANY
January 17, 2013 - September 19, 2016
TD ARRANGED SERVICES LLC
August 11, 2006 - March 3, 2015
ATM
October 29, 2004 - April 19, 2006
UBS SECURITIES LLC
April 12, 2004 - November 1, 2004
CHARLES SCHWAB & CO., INC.
January 12, 2004 - November 1, 2004
UBS CAPITAL MARKETS L.P.
June 3, 2002 - January 12, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
May 15, 2000 - May 24, 2002
ROBERTSON STEPHENS, INC.
February 2, 1999 - May 23, 2000
DEUTSCHE BANK SECURITIES 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
(2/27/2024)
Exams
Series 99TO
Date: 9/22/2025
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/2/2001
Limited Representative-Equity Trader ExamSeries 25
Date: 3/16/2000
NYSE Trading Assistant ExaminationFINRA
Investors' Exchange LLC
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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