Matthew R. Petrizzo

GUGGENHEIM INVESTMENTS

Coloma, MI

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CRD#: 4853470

Professional summary

Matthew Rosario Petrizzo, who also goes by Matthew Rosario Petrizzo, is a registered financial advisor currently at GUGGENHEIM INVESTMENTS located in Coloma, Michigan and GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in Chicago, Illinois.

Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Matthew has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Matthew Rosario Petrizzo

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.

PALOS ORLAND SWIM ASSOC. NONINVESTMENT RELATED. ASS'T SWIM COACH. START 4/2010.10 HRS WK- NO HRS DURING BUSINESS HR. COACHING AGE GROUP SWIMMING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Rosario Petrizzo'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

January 17, 2025 - Present

GUGGENHEIM INVESTMENTS

RIA

CRD#: 105477

Coloma, MI

Current

January 16, 2025 - Present

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

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

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

Illinois
(1/16/2025)

IAR

Illinois
(1/17/2025)

Indiana
(1/16/2025)

Michigan
(1/16/2025)

IAR

Michigan
(5/7/2025)

Wisconsin
(1/16/2025)

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 66

Date: 2/17/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/13/2004

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: 12/2/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/1/2023

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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Advisor Monitoring

Firm Stability Insights

Matthew R. Petrizzo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Rosario Petrizzo's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

FORESIDE FUND SERVICES, LLC

GUGGENHEIM INVESTMENTS

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

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RBC CAPITAL MARKETS, LLC

VAN KAMPEN ADVISORS INC

INVESCO CAPITAL MARKETS, INC.

GUGGENHEIM INVESTMENTS

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Primary Firm SEC Registration

GUGGENHEIM INVESTMENTS

State Registrations and Notice Filings

Exams

Series 66

Date: 2/17/2005

Series 63

Date: 12/13/2004

SIE

Date: 10/1/2018

Series 7

Date: 12/2/2004

Series 24

Date: 5/1/2023

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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