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MC

Michael F. Ciarmoli

GUGGENHEIM SECURITIES
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 4253429
MC
Michael Frank CiarmoliGUGGENHEIM SECURITIES

Professional summary

Michael Frank Ciarmoli is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 7 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 55 and Series 7 exams.

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) - BD

Click below to view Michael Frank Ciarmoli's CRS (Customer Relationship Summary).
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

July 20, 2026 - Present

GUGGENHEIM SECURITIES, LLC

Office #1: 330 Madison Avenue, New York, NY 10017
BD
CRD#: 40638
NEW YORK, NY
Past

November 17, 2016 - April 15, 2026

TRUIST SECURITIES, INC.

BD
CRD#: 6271
NEW YORK, NY
Past

August 17, 2010 - October 11, 2016

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
NEW YORK, NY
Past

March 7, 2006 - August 26, 2010

BOENNING & SCATTERGOOD, INC.

BD
CRD#: 100
WEST CONSHOHOCKEN, PA
Past

July 25, 2005 - March 7, 2006

EMERGING GROWTH EQUITIES, LTD.

BD
CRD#: 47040
KING OF PRUSSIA, PA
Past

April 23, 2004 - July 27, 2005

WILMINGTON BROKERAGE SERVICES COMPANY

BD
CRD#: 14942
WILMINGTON, DE
Past

September 7, 2000 - May 17, 2002

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Arkansas
(7/21/2026)
RR
California
(7/21/2026)
RR
Colorado
(7/21/2026)
RR
Connecticut
(7/21/2026)
RR
Delaware
(7/21/2026)
RR
District of Columbia
(7/21/2026)
RR
Florida
(7/21/2026)
RR
Georgia
(7/21/2026)
RR
Hawaii
(7/21/2026)
RR
Illinois
(7/21/2026)
RR
Iowa
(7/21/2026)
RR
Kansas
(7/21/2026)
RR
Maryland
(7/21/2026)
RR
Massachusetts
(7/21/2026)
RR
Minnesota
(7/21/2026)
RR
Missouri
(7/21/2026)
RR
New Jersey
(7/21/2026)
RR
New York
(7/20/2026)
RR
North Carolina
(7/21/2026)
RR
Ohio
(7/22/2026)
RR
Oklahoma
(7/21/2026)
RR
Oregon
(7/21/2026)
RR
Pennsylvania
(7/20/2026)
RR
Puerto Rico
(7/21/2026)
RR
Tennessee
(7/21/2026)
RR
Texas
(7/21/2026)
RR
Utah
(7/21/2026)
RR
Vermont
(7/21/2026)
RR
Virginia
(7/21/2026)
RR
Wisconsin
(7/21/2026)
RR
Wyoming
(7/21/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 10/13/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 11/3/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 10/12/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 55
Date: 11/21/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/5/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

GS
GUGGENHEIM SECURITIES, LLC
GUGGENHEIM CAPITAL MARKETS, LLC | LINKS SECURITIES LLC | LINKS SECURITIES INC. | GUGGENHEIM SECURITIES, LLC

CRD#: 40638 / SEC#: , 8-49107

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 8th Floor, New York, NY 10017
Phone number
(212) 518-9200
Established
Delaware since 01/29/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LINKS HOLDINGS, LLCMEMBER
GUGGENHEIM MANAGER, INC.MANAGING MEMBER
LOWERY WHILLE, TRACYCHIEF COMPLIANCE OFFICER2872693
MILLSTEIN, JAMES E.CO-CHARIMAN4270577
SCHWARTZ, ALAN DAVIDCO-CHAIRMAN416184
SCHWARTZ, ANDREW JONCHIEF FINANCIAL OFFICER5121914
SIRNA, KRISTINE MCHIEF OPERATIONS PRINCIPAL & PRINCIPAL OPERATIONS OFFICER5971785
TSOU, SUSANFINOP & PRINCIPAL FINANCIAL OFFICER6187001
VAN LITH, MARK ALANCHEIF EXECUTIVE OFFICER2263510

Disclosures

Regulatory Event10

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 SECURITIES, LLC

CRD#: 40638New York, NY 10017

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