Brian M. Cooke
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.
Brian Matthew Cooke, who also goes by Brian Matthew Cooke, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2002. Brian had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2023 - July 17, 2023
GUGGENHEIM SECURITIES, LLC
March 28, 2022 - June 5, 2023
GUGGENHEIM SECURITIES, LLC
July 18, 2019 - March 15, 2022
CLSA AMERICAS, LLC
July 10, 2014 - July 8, 2019
OTR GLOBAL TRADING LLC
August 13, 2012 - October 2, 2012
OTR GLOBAL TRADING LLC
January 15, 2009 - January 9, 2012
OTR GLOBAL TRADING LLC
March 14, 2008 - December 31, 2008
OTA LLC
March 18, 2005 - August 30, 2007
MERRIMAN CAPITAL, INC.
April 29, 2004 - November 22, 2004
KAUFMAN BROS., L.P.
April 29, 2004 - November 22, 2004
KAUFMAN BROS., L.P.
December 9, 2003 - April 20, 2004
OTR GLOBAL LLC
October 15, 2002 - April 20, 2004
OTA LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
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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