Andrew J. Schwartz

GUGGENHEIM SECURITIES

New York, NY 10017

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CRD#: 5121914

Professional summary

Andrew Jon Schwartz is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2006. Andrew has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 27 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 Andrew Jon Schwartz'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

October 21, 2024 - Present

GUGGENHEIM SECURITIES, LLC

Office #1: 330 Madison Avenue, New York, NY 10017

CRD#: 40638

New York, NY

Past

July 17, 2013 - September 27, 2017

GUGGENHEIM SECURITIES, LLC

CRD#: 40638

NEW YORK, NY

Past

January 6, 2012 - June 14, 2013

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

November 1, 2010 - December 8, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 7, 2008 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

June 26, 2008 - September 18, 2008

DC ADVISORY

CRD#: 129919

NEW YORK, NY

Past

October 24, 2006 - June 18, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

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

State Security Law Exam

Series 63

Date: 1/27/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/27/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/23/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 10/20/2024

Financial and Operations Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

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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Andrew J. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Jon Schwartz's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUGGENHEIM SECURITIES, LLC

RBC CAPITAL MARKETS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA SECURITIES LLC

DC ADVISORY

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/27/2007

SIE

Date: 9/27/2017

Series 7

Date: 10/23/2006

Series 27

Date: 10/20/2024

FINRA

Investors' Exchange LLC

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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