Adam B. Schrier

GUGGENHEIM FUNDS DISTRIBUTORS

New York, NY 10017-5001

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CRD#: 4231332

Professional summary

Adam Bret Schrier, who also goes by Adam B Schrier, Adam Bret Schrier, is a registered financial professional currently at GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in New York, New York.

Adam is registered as a RR (Registered Representative) and started their career in finance in 2004. Adam has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Adam B Schrier | Adam Bret Schrier

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) - BD

Click below to view Adam Bret Schrier's CRS (Customer Relationship Summary).

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

Current

December 22, 2025 - Present

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Office #1: 330 Madison Ave, New York, NY 10017-5001

RIA

CRD#: 39805

New York, NY

Past

March 31, 2016 - December 8, 2025

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

NEW YORK, NY

Past

July 10, 2012 - March 16, 2016

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

NEW YORK, NY

Past

November 5, 2010 - June 21, 2012

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

Past

July 3, 2006 - December 23, 2009

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

NEW YORK, NY

Past

April 5, 2005 - July 11, 2006

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

January 13, 2004 - November 29, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805 / SEC#: 801-54810, 8-48842

RIA

Registered Investment Advisory firm - SEC (8/26/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(12/22/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/14/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/12/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805 / SEC#: 801-54810, 8-48842

RIA

Registered Investment Advisory firm - SEC (8/26/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

227 West Monroe Street 7th Floor, Chicago, IL 60606

Mailing Address

702 King Farm Blvd Ste 200, Rockville, MD 20850

Phone number

(312) 357-0287

Established

Delaware since 11/09/1995

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

250

SEC notice filing (2 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
GUGGENHEIM FUNDS SERVICES, LLC	MEMBER
CHAN, YING	FINANCIAL AND OPERATIONS PRINCIPAL	4956885
COGLIANDRO, DOMINICK NMN	CHIEF OPERATING OFFICER, UNIT INVESTMENT TRUST BUSINESS	1490945
DILORENZO, DINA MARIE	PRESIDENT OF THE BROKER DEALER, GUGGENHEIM FUNDS DISTRIBUTORS, LLC	2664787
LEE, AMY JO	GENERAL COUNSEL, SECRETARY, AND SENIOR MANAGING DIRECTOR	1161869
METZGER, DENNIS RYAN	CHIEF COMPLIANCE OFFICER	4888899
MILLER, ELISABETH ANN	SENIOR MANAGING DIRECTOR	4381813
PARISI, CHRISTOPHER VITO	HEAD OF DISTRIBUTION, SENIOR MANAGING DIRECTOR	2410528

Regulatory assets under management

Total Number of Accounts	279
AUM (Assets Under Management)	$ 6,850,185,742

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.

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Firm Stability Insights

Adam B. Schrier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam Bret Schrier's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE DISTRIBUTORS LLC

INVESCO DISTRIBUTORS, INC.

UBS ASSET MANAGEMENT (US) INC.

MORGAN STANLEY DISTRIBUTION, INC.

MORGAN STANLEY & CO. LLC

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/14/2011

SIE

Date: 10/1/2018

Series 7

Date: 1/12/2004

FINRA

Current Firm

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

TRUST BUT VERIFY

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