Rachel O. Jowdy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rachel O'neill Jowdy, who also goes by Rachel O Neill Moran, Rachel O'neill Moran, Rachel Oneill Moran, Rachel Moran, was a registered financial professional .
Rachel is a previously registered financial professional and started their career in finance in 2006. Rachel had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2014 - August 20, 2025
GUGGENHEIM INVESTMENTS
October 10, 2014 - August 20, 2025
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
June 5, 2013 - September 10, 2014
COREBRIDGE CAPITAL SERVICES, INC.
March 13, 2012 - November 5, 2012
PUTNAM INVESTMENT MANAGEMENT, LLC
March 13, 2012 - November 5, 2012
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
March 18, 2011 - February 21, 2012
BNY MELLON SECURITIES CORPORATION
December 17, 2010 - February 21, 2012
BNY MELLON SECURITIES CORPORATION
June 1, 2010 - November 22, 2010
INVESCO DISTRIBUTORS, INC.
February 14, 2007 - June 1, 2010
INVESCO CAPITAL MARKETS, INC.
August 4, 2006 - February 1, 2007
CITICORP INVESTMENT SERVICES
Primary Firm SEC Registration
GUGGENHEIM INVESTMENTS
CRD#: 105477 / SEC#: 801-8008
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GUGGENHEIM INVESTMENTS
CRD#: 105477 / SEC#: 801-8008
Contact information
SEC notice filing (53 States and Territories)
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.
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