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AS

Adam M. Sall

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CRD#: 4511934
AS

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.

Adam Michael Sall, who also goes by Adam M Sall, was a registered financial professional .

Adam is a previously registered financial professional and started their career in finance in 2002. Adam had worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Adam M Sall

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 14, 2016 - December 31, 2024

GUGGENHEIM INVESTMENTS

RIA
CRD#: 105477
Boca Raton, FL
Past

April 16, 2014 - December 31, 2024

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL
Past

October 27, 2011 - April 24, 2014

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA
CRD#: 106494
BOCA RATON, FL
Past

October 3, 2011 - April 24, 2014

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
WINDSOR, CT
Past

February 22, 2010 - October 4, 2011

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

March 6, 2008 - February 8, 2010

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA
CRD#: 106494
NEW YORK, NY
Past

November 2, 2005 - February 8, 2010

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
SCOTTSDALE, AZ
Past

February 1, 2005 - November 4, 2005

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
SAN ANSELMO, CA
Past

February 1, 2005 - November 4, 2005

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

November 15, 2004 - February 1, 2005

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
SAN ANSELMO, CA
Past

November 15, 2004 - February 1, 2005

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

June 5, 2002 - November 29, 2004

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
SAN FRANCISCO, CA
Past

May 3, 2002 - November 29, 2004

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/23/2002
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 7
Date: 5/2/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/6/2023
General Securities Principal Examination

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#: 105477

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