PH
Peter T. Healy
GUGGENHEIM FUNDS DISTRIBUTORS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5131087
PH
Professional summary
Peter Thomas Healy JR, who also goes by Peter Thomas Healy Jr, Peter Thomas Healy Jr., Peter Thomas Healy, is a registered financial professional currently at GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in Chicago, Illinois.
Peter is registered as a RR (Registered Representative) and started their career in finance in 2007. Peter has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Peter Thomas Healy Jr | Peter Thomas Healy Jr. | Peter Thomas Healy
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.
CRS (Client Relationship Summary) - BD
Click below to view Peter Thomas Healy JR'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®
NoneExperience
Current
August 2, 2024 - Present
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
Office #1: 227 West Monroe Street 7th Floor, Chicago, IL 60606RIA
BD
CRD#: 39805
Chicago, IL
Past
March 9, 2023 - December 11, 2023
TCW INVESTMENT MANAGEMENT COMPANY LLC
RIA
CRD#: 106546
NEW YORK, NY
Past
June 13, 2014 - December 11, 2023
TCW FUNDS DISTRIBUTORS LLC
BD
CRD#: 16670
NEW YORK, NY
Past
February 14, 2011 - April 24, 2014
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
NEW YORK, NY
Past
August 22, 2007 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GF
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
CLAYMORE SECURITIES, INC. | RANSON & ASSOCIATES INC. | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS | GUGGENHEIM GLOBAL INVESTMENTS | GUGGENHEIM FUNDS DISTRIBUTORS, LLC | GUGGENHEIM FUNDS DISTRIBUTORS, INC. | GUGGENHEIM
CRD#: 39805 / SEC#: 801-54810, 8-48842
RIA
Registered Investment Advisory firm - SEC (8/26/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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
Alabama(8/8/2024)
RR
Alaska(8/8/2024)
RR
Arizona(8/8/2024)
RR
Arkansas(8/8/2024)
RR
California(8/8/2024)
RR
Colorado(8/8/2024)
RR
Connecticut(8/2/2024)
RR
Delaware(8/8/2024)
RR
District of Columbia(8/8/2024)
RR
Florida(8/8/2024)
RR
Georgia(8/8/2024)
RR
Hawaii(8/8/2024)
RR
Idaho(8/8/2024)
RR
Illinois(8/8/2024)
RR
Indiana(8/8/2024)
RR
Iowa(8/8/2024)
RR
Kansas(8/8/2024)
RR
Kentucky(8/8/2024)
RR
Louisiana(8/8/2024)
RR
Maine(8/8/2024)
RR
Maryland(8/8/2024)
RR
Massachusetts(8/8/2024)
RR
Michigan(8/8/2024)
RR
Minnesota(8/8/2024)
RR
Mississippi(8/8/2024)
RR
Missouri(8/8/2024)
RR
Montana(8/8/2024)
RR
Nebraska(8/8/2024)
RR
Nevada(8/8/2024)
RR
New Hampshire(8/8/2024)
RR
New Jersey(8/8/2024)
RR
New Mexico(8/8/2024)
RR
New York(8/8/2024)
RR
North Carolina(8/8/2024)
RR
North Dakota(8/8/2024)
RR
Ohio(8/9/2024)
RR
Oklahoma(8/8/2024)
RR
Oregon(8/8/2024)
RR
Pennsylvania(8/8/2024)
RR
Puerto Rico(8/8/2024)
RR
Rhode Island(8/8/2024)
RR
South Carolina(8/8/2024)
RR
South Dakota(8/8/2024)
RR
Tennessee(8/8/2024)
RR
Texas(8/8/2024)
RR
Utah(8/8/2024)
RR
Vermont(8/8/2024)
RR
Virgin Islands(8/8/2024)
RR
Virginia(8/8/2024)
RR
Washington(8/8/2024)
RR
West Virginia(8/8/2024)
RR
Wisconsin(8/8/2024)
RR
Wyoming(8/8/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GF
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
CLAYMORE SECURITIES, INC. | RANSON & ASSOCIATES INC. | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS | GUGGENHEIM GLOBAL INVESTMENTS | GUGGENHEIM FUNDS DISTRIBUTORS, LLC | GUGGENHEIM FUNDS DISTRIBUTORS, INC. | GUGGENHEIM
CRD#: 39805 / SEC#: 801-54810, 8-48842
RIA
Registered Investment Advisory firm - SEC (8/26/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
227 West Monroe Street 7th Floor, Chicago, IL 60606
Mailing Address
702 King Farm Blvd Ste 200, Rockville, MD 20850
Phone number
(312) 357-0287
Established
Delaware since 11/09/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
250
SEC notice filing (2 States and Territories)
FINRA licenses (53 States and Territories)
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 | 279 |
| AUM (Assets Under Management) | $ 6,850,185,742 |
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.
