Philip P. Schrode

GUGGENHEIM INVESTMENTS

VILLANOVA, PA

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CRD#: 4549371

Professional summary

Philip Paul Schrode, who also goes by Philip Ppgh Schrode, is a registered financial advisor currently at GUGGENHEIM INVESTMENTS located in Villanova, Pennsylvania and GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in Chicago, Illinois.

Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Philip has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Philip Ppgh Schrode

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.

I have a LLC names Penn Associates, based in my home, which manages my real estate property for liability purposes. I am the sole proprietor. I spend approximately 2 hours per month dealing with tenants. No work time is devoted toward this.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Paul Schrode'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

August 31, 2016 - Present

GUGGENHEIM INVESTMENTS

RIA

CRD#: 105477

VILLANOVA, PA

Current

August 31, 2016 - Present

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Office #1: 227 West Monroe Street 7th Floor, Chicago, IL 60606

RIA

CRD#: 39805

Chicago, IL

Past

November 27, 2006 - August 15, 2016

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

Villanova, PA

Past

November 27, 2006 - August 15, 2016

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

JERSEY CITY, NJ

Past

October 10, 2006 - November 13, 2006

BNY MELLON SECURITIES CORPORATION

RIA

CRD#: 231

PHILADELPHIA, PA

Past

October 6, 2006 - November 13, 2006

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

September 30, 2004 - March 1, 2006

BLACKROCK CAPITAL MANAGEMENT, INC.

RIA

CRD#: 108069

WILMINGTON, DE

Past

June 27, 2002 - March 1, 2006

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, 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".

GUGGENHEIM INVESTMENTS

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.

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

Alabama
(12/12/2024)

Connecticut
(10/10/2022)

Delaware
(8/31/2016)

District of Columbia
(8/31/2016)

Florida
(10/10/2022)

Georgia
(12/12/2024)

Illinois
(8/31/2016)

IAR

Illinois
(9/1/2016)

Kentucky
(10/10/2022)

Maine
(12/12/2024)

Maryland
(8/31/2016)

Massachusetts
(12/12/2024)

Mississippi
(12/12/2024)

Montana
(11/18/2016)

New Hampshire
(12/12/2024)

New Jersey
(8/31/2016)

New York
(10/10/2022)

North Carolina
(12/12/2024)

Ohio
(10/11/2022)

Pennsylvania
(8/31/2016)

IAR

Pennsylvania
(3/13/2025)

Puerto Rico
(12/12/2024)

Rhode Island
(12/12/2024)

South Carolina
(12/12/2024)

Tennessee
(12/12/2024)

Vermont
(12/12/2024)

Virginia
(8/31/2016)

West Virginia
(10/10/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/16/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/29/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/26/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/22/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GUGGENHEIM INVESTMENTS

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

SEC notice filing (53 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	113
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.

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Firm Stability Insights

Philip P. Schrode

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Paul Schrode's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NYLIFE DISTRIBUTORS LLC

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

BLACKROCK CAPITAL MANAGEMENT, INC.

BLACKROCK INVESTMENTS, LLC

Primary Firm SEC Registration

GUGGENHEIM INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 4/16/2004

Series 63

Date: 7/29/2002

SIE

Date: 10/1/2018

Series 7

Date: 6/26/2002

Series 24

Date: 12/22/2022

FINRA

Current Firm

GUGGENHEIM INVESTMENTS

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

GUGGENHEIM INVESTMENTS

TRUST BUT VERIFY

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