David Cannon
Professional summary
David Cannon, who also goes by David Hogensen Cannon II, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 2001. David has worked at 4 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 57TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Cannon's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 9, 2026 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017February 13, 2020 - June 15, 2026
KEYBANC CAPITAL MARKETS INC.
July 4, 2005 - December 16, 2019
WELLS FARGO SECURITIES, LLC
September 19, 2001 - May 1, 2002
J.P. MORGAN SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/9/2026)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamFINRA
Investors' Exchange LLC
Nasdaq Stock Market
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 |
| SIRNA, KRISTINE M | CHIEF OPERATIONS PRINCIPAL & PRINCIPAL OPERATIONS OFFICER | 5971785 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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