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AS

Anthony J. Sendra

GUGGENHEIM INVESTMENTS
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 4360806
AS

Professional summary

Anthony Joseph Sendra, who also goes by Anthony Joseph Sendra, is a registered financial advisor currently at GUGGENHEIM INVESTMENTS located in Chicago, Illinois and GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in Chicago, Illinois.

Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Anthony has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Anthony Joseph Sendra

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) - RIA

Click below to view Anthony Joseph Sendra'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

March 6, 2014 - Present

GUGGENHEIM INVESTMENTS

Office #1: 227 West Monroe Street 7th Fl, Chicago, IL 60606
RIA
CRD#: 105477
CHICAGO, IL
Current

January 2, 2003 - Present

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Office #1: 227 West Monroe Street 7th Floor, Chicago, IL 60606
RIA
BD
CRD#: 39805
Chicago, IL
Past

March 19, 2004 - November 4, 2008

GUGGENHEIM INVESTMENTS

RIA
CRD#: 129288
LISLE, IL
Past

June 26, 2003 - July 1, 2004

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

RIA
CRD#: 39805
LISLE, IL
Past

March 1, 2002 - November 5, 2002

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
OAK BROOK,, IL
Past

April 16, 2001 - November 5, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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".
GI
GUGGENHEIM INVESTMENTS
6TH AVENUE INVESTMENT MANAGEMENT COMPANY | SECURITY MANAGEMENT COMPANY, LLC | SECURITY INVESTORS, LLC | SECURITY GLOBAL INVESTORS | RYDEX|SGI | RYDEX INVESTMENTS | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS | 6TH AVENUE INVESTMENT MANAGEMENT COMPANY, LLC

CRD#: 105477 / SEC#: 801-8008

RIA
Registered Investment Advisory firm - (11/20/1971 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
Arizona
(6/24/2024)
RR
Arkansas
(1/17/2019)
RR
Colorado
(6/24/2024)
RR
Delaware
(8/30/2024)
RR
District of Columbia
(8/30/2024)
RR
Idaho
(6/24/2024)
RR
Illinois
(1/2/2003)
IAR
Illinois
(3/6/2014)
RR
Louisiana
(1/17/2019)
RR
Maryland
(8/30/2024)
RR
Montana
(6/24/2024)
RR
Nevada
(6/24/2024)
RR
New Mexico
(1/17/2019)
RR
Oklahoma
(1/17/2019)
RR
Texas
(1/17/2019)
RR
Utah
(6/24/2024)
RR
Virginia
(8/30/2024)
RR
West Virginia
(8/30/2024)
RR
Wyoming
(6/24/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/24/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/15/2001
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/12/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GI
GUGGENHEIM INVESTMENTS
6TH AVENUE INVESTMENT MANAGEMENT COMPANY | SECURITY MANAGEMENT COMPANY, LLC | SECURITY INVESTORS, LLC | SECURITY GLOBAL INVESTORS | RYDEX|SGI | RYDEX INVESTMENTS | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS | 6TH AVENUE INVESTMENT MANAGEMENT COMPANY, LLC

CRD#: 105477 / SEC#: 801-8008

RIA
Registered Investment Advisory firm - (11/20/1971 Approved)
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Contact information

Main Address
330 Madison Avenue 10th Floor, New York, NY 10017
Mailing Address
Phone number
(212) 739-0700
Established
Firm type
Fiscal year end
# of Employees
20

SEC notice filing (53 States and Territories)

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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts113
AUM (Assets Under Management)$ 7,395,263,411

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 INVESTMENTS

CRD#: 105477Chicago, IL 60606

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