Jeremiah B. Stafford
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.
Jeremiah Brandon Stafford, who also goes by Jeremiah Brandon Stafford, Jeremiah Stafford, was a registered financial professional .
Jeremiah is a previously registered financial professional and started their career in finance in 2002. Jeremiah had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2018 - October 11, 2018
GUGGENHEIM SECURITIES, LLC
January 5, 2018 - February 16, 2018
TRADITION SECURITIES AND DERIVATIVES LLC
September 2, 2014 - August 18, 2017
TULLETT PREBON FINANCIAL SERVICES LLC
April 4, 2013 - January 30, 2014
TULLETT PREBON FINANCIAL SERVICES LLC
January 27, 2010 - January 20, 2011
CITIGROUP GLOBAL MARKETS INC.
September 22, 2008 - November 11, 2009
BARCLAYS CAPITAL INC.
December 18, 2003 - September 22, 2008
LEHMAN BROTHERS INC.
October 31, 2002 - October 16, 2003
PALOMA SECURITIES L.L.C.
August 27, 2002 - December 3, 2003
AMARANTH SECURITIES L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 10/23/2002
Limited Representative-Equity Trader ExamCurrent 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 |
| 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 | 10 |
Red Flags
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