Ying Chan
Professional Summary
Ying Chan, who also goes by Rebecca Chan, Ying Z Chan, Ying Zheng, is a registered financial advisor currently at GUGGENHEIM INVESTOR SERVICES, LLC located in New York, New York and GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in New York, New York. Ying is registered as a RR (Registered Representative) and started their career in finance in 2005. Ying has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rebecca Chan, Ying Z Chan, Ying Zheng
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
CLAYMORE SECURITIES, INC. | RANSON & ASSOCIATES INC. | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS | GUGGENHEIM GLOBAL INVESTMENTS | GUGGENHEIM FUNDS DISTRIBUTORS, LLC | GUGGENHEIM FUNDS DISTRIBUTORS, INC. | GUGGENHEIM
Contact Information
Main Address
227 West Monroe Street 7th Floor, Chicago, IL 60606Mailing Address
702 King Farm Blvd Ste 200, Rockville, MD 20850Phone Number
(312) 357-0287Established
Delaware since 11/09/1995Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
245SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GUGGENHEIM FUNDS SERVICES, LLC | MEMBER | — |
| CHAN, YING | FINANCIAL AND OPERATIONS PRINCIPAL | 4956885 |
| COGLIANDRO, DOMINICK NMN | CHIEF OPERATING OFFICER, UNIT INVESTMENT TRUST BUSINESS | 1490945 |
| DILORENZO, DINA MARIE | PRESIDENT OF THE BROKER DEALER, GUGGENHEIM FUNDS DISTRIBUTORS, LLC | 2664787 |
| LEE, AMY JO | GENERAL COUNSEL, SECRETARY, AND SENIOR MANAGING DIRECTOR | 1161869 |
| METZGER, DENNIS RYAN | CHIEF COMPLIANCE OFFICER | 4888899 |
| MILLER, ELISABETH ANN | SENIOR MANAGING DIRECTOR | 4381813 |
| PARISI, CHRISTOPHER VITO | HEAD OF DISTRIBUTION, SENIOR MANAGING DIRECTOR | 2410528 |
Regulatory Assets Under Management
Total Number of Accounts
290AUM (Assets Under Management)
$7,800,735,582Similar Advisors
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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.
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Primary Firm SEC Registration
CLAYMORE SECURITIES, INC. | RANSON & ASSOCIATES INC. | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS | GUGGENHEIM GLOBAL INVESTMENTS | GUGGENHEIM FUNDS DISTRIBUTORS, LLC | GUGGENHEIM FUNDS DISTRIBUTORS, INC. | GUGGENHEIM
State Registrations and Notice Filings
(11/15/2005)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Ying Chan's CRS (Customer Relationship Summary).
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