Joel P. Fishbein

GUGGENHEIM SECURITIES

Chicago, IL 60606

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CRD#: 4466319

Professional summary

Joel P Fishbein JR, who also goes by Joel Fishbein Jr, Joel P Fishbein, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in Chicago, Illinois.

Joel is registered as a RR (Registered Representative) and started their career in finance in 2002. Joel has worked at 6 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joel Fishbein Jr | Joel P Fishbein

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 Joel P Fishbein JR'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

October 24, 2025 - Present

GUGGENHEIM SECURITIES, LLC

Office #1: 227 West Monroe Street, Chicago, IL 60606

CRD#: 40638

Chicago, IL

Past

June 26, 2019 - July 28, 2025

TRUIST SECURITIES, INC.

CRD#: 6271

NASHVILLE, TN

Past

August 4, 2015 - May 29, 2019

BTIG, LLC

CRD#: 122225

New York, NY

Past

November 20, 2013 - August 4, 2015

BMO CAPITAL MARKETS CORP.

CRD#: 16686

NEW YORK, NY

Past

September 5, 2006 - November 5, 2013

FM PARTNERS HOLDINGS LLC

CRD#: 134736

NEW YORK, NY

Past

July 16, 2002 - September 19, 2006

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

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

Tennessee
(10/24/2025)

Exams

State Security Law Exam

Series 63

Date: 6/23/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 3/21/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 12/14/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 7/15/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/3/2008

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

GUGGENHEIM SECURITIES, LLC

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

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

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

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

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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Advisor Monitoring

Firm Stability Insights

Joel P. Fishbein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joel P Fishbein JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST SECURITIES, INC.

BTIG, LLC

BMO CAPITAL MARKETS CORP.

FM PARTNERS HOLDINGS LLC

JANNEY MONTGOMERY SCOTT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/23/2004

SIE

Date: 10/1/2018

Series 86

Date: 3/21/2005

Series 87

Date: 12/14/2004

Series 7

Date: 7/15/2002

Series 24

Date: 7/3/2008

FINRA

Nasdaq Stock Market

Current Firm

GUGGENHEIM SECURITIES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GUGGENHEIM SECURITIES, LLC

TRUST BUT VERIFY

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