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JG

John Gardner

GUGGENHEIM SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 4703101
JG

Professional summary

John Gardner, who also goes by John Adams Gardner Jr, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 2003. John has worked at 11 firms and has passed the Series 66, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Adams Gardner Jr

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 John Gardner'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 6, 2020 - Present

GUGGENHEIM SECURITIES, LLC

Office #1: 330 Madison Avenue, New York, NY 10017
BD
CRD#: 40638
New York, NY
Past

April 14, 2020 - July 28, 2020

SRT SECURITIES LLC

BD
CRD#: 33725
BIRMINGHAM, MI
Past

December 7, 2018 - March 21, 2020

DASH FINANCIAL TECHNOLOGIES LLC

BD
CRD#: 104031
New York, NY
Past

July 11, 2017 - October 22, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 6, 2007 - June 28, 2017

BLOOMBERG TRADEBOOK LLC

BD
CRD#: 40881
NEW YORK, NY
Past

October 6, 2006 - April 2, 2008

TRINITY DERIVATIVES GROUP, LLC

BD
CRD#: 132927
NEW YORK, NY
Past

September 20, 2005 - October 16, 2006

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
RED BANK, NJ
Past

September 20, 2005 - October 16, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
RED BANK, NJ
Past

July 6, 2005 - September 22, 2005

GARDNER & GARDNER, LLC

RIA
CRD#: 133996
RED BANK, NJ
Past

March 17, 2005 - September 16, 2005

1ST WORLDWIDE FINANCIAL PARTNERS, LLC

BD
CRD#: 132038
LAVALLETTE, NJ
Past

April 16, 2004 - March 7, 2005

THOMAS GROUP CAPITAL

BD
CRD#: 112901
ATLANTA, GA
Past

September 23, 2003 - February 24, 2004

SLK-HULL DERIVATIVES LLC

BD
CRD#: 46735
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
California
(7/23/2020)
RR
Colorado
(7/23/2020)
RR
Connecticut
(7/23/2020)
RR
Illinois
(7/23/2020)
RR
Maryland
(4/25/2022)
RR
Massachusetts
(10/30/2020)
RR
Minnesota
(4/11/2022)
RR
New Jersey
(8/19/2020)
RR
New York
(7/6/2020)
RR
Texas
(7/23/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/12/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/1/2006
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 11/10/2004
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/15/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/5/2004
Registered Options Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

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

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LINKS HOLDINGS, LLCMEMBER
GUGGENHEIM MANAGER, INC.MANAGING MEMBER
LOWERY WHILLE, TRACYCHIEF COMPLIANCE OFFICER2872693
MILLSTEIN, JAMES E.CO-CHARIMAN4270577
SCHWARTZ, ALAN DAVIDCO-CHAIRMAN416184
SCHWARTZ, ANDREW JONCHIEF FINANCIAL OFFICER5121914
SIRNA, KRISTINE MCHIEF OPERATIONS PRINCIPAL & PRINCIPAL OPERATIONS OFFICER5971785
TSOU, SUSANFINOP & PRINCIPAL FINANCIAL OFFICER6187001
VAN LITH, MARK ALANCHEIF EXECUTIVE OFFICER2263510

Disclosures

Regulatory Event10

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 SECURITIES, LLC

CRD#: 40638New York, NY 10017

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