Justine K. Davies

GUGGENHEIM SECURITIES

San Francisco, CA 94108

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CRD#: 4568584

Professional summary

Justine Kim Davies is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in San Francisco, California.

Justine is registered as a RR (Registered Representative) and started their career in finance in 2002. Justine has worked at 5 firms and has passed the Series 6TO, SIE, Series 87, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Justine Kim Davies'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

July 8, 2010 - Present

GUGGENHEIM SECURITIES, LLC

Office #1: 601 California Street, Suite 610, San Francisco, CA 94108

CRD#: 40638

San Francisco, CA

Past

April 9, 2010 - April 10, 2012

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

December 4, 2006 - December 3, 2008

SUSQUEHANNA FINANCIAL GROUP, LLLP

CRD#: 35865

SAN FRANCISCO, CA

Past

September 29, 2005 - December 11, 2006

NOLLENBERGER CAPITAL PARTNERS INC.

CRD#: 119248

SAN FRANCISCO, CA

Past

November 7, 2002 - August 18, 2005

WELLS FARGO SECURITIES, LLC

CRD#: 7665

SAN FRANCISCO, CA

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

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 7/26/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 11/6/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/13/2004

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

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Firm Stability Insights

Justine K. Davies

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Justine Kim Davies's CRS (Customer Relationship Summary).

Certified licenses

Experience

CANTOR FITZGERALD & CO.

SUSQUEHANNA FINANCIAL GROUP, LLLP

NOLLENBERGER CAPITAL PARTNERS INC.

WELLS FARGO SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 87

Date: 7/26/2005

Series 7

Date: 11/6/2002

Series 24

Date: 5/13/2004

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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