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JF

Julie K. Fraundorf

Some features on this profile are disabled
CRD#: 4089658
JF

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.

Julie Kay Fraundorf was a registered financial professional .

Julie is a previously registered financial professional and started their career in finance in 2003. Julie had worked at 4 firms and has passed the Series 63, Series 7, Series 24 and Series 28 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

June 5, 2013 - January 29, 2014

GUGGENHEIM INVESTOR SERVICES, LLC

BD
CRD#: 30096
CHICAGO, IL
Past

September 15, 2010 - December 31, 2011

RIVER BRANCH CAPITAL LLC

BD
CRD#: 153272
CHICAGO, IL
Past

March 4, 2004 - April 25, 2005

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

December 19, 2003 - January 21, 2004

GLEACHER PARTNERS LLC

BD
CRD#: 47342
NEW YORK, NY

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
RR
Series 63
Date: 10/17/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/23/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/7/2010
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 5/20/2010
Introducing Broker/Dealer Financial Operations Principal Examination

Current Firm

GI
GUGGENHEIM INVESTOR SERVICES, LLC
GUGGENHEIM INVESTMENTS | INTER-ATLANTIC SECURITIES CORPORATION | GUGGENHEIM SECURITIES, LLC | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTOR SERVICES, LLC

CRD#: 30096 / SEC#: , 8-44742

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
330 Madison Avenue, New York, NY 10017
Mailing Address
330 Madison Avenue, New York, NY 10017
Phone number
(212) 901-9405
Established
Delaware since 12/31/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GUGGENHEIM FUNDS SERVICES, LLCMEMBER
CHAN, YING ZPRINCIPAL FINANCIAL AND OPERATIONS OFFICER4956885
DILORENZO, DINA MARIEMANAGING EXECUTIVE2664787
SAPERSTEIN, ROBERT ANDREWCHIEF COMPLIANCE OFFICER2567876

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 INVESTOR SERVICES, LLC

CRD#: 30096

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