Nicholas M. Rubino
Professional summary
Nicholas Michael Rubino was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nicholas is a previously registered financial professional and started their career in finance in 2007. Prior to being barred, Nicholas had worked at 2 firms, which includes GUGGENHEIM DISTRIBUTORS LLC, FORESIDE FUND SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2008 - July 8, 2008
GUGGENHEIM DISTRIBUTORS, LLC
August 17, 2007 - March 3, 2008
FORESIDE FUND SERVICES, LLC
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 DISTRIBUTORS, LLC
CRD#: 40805 / SEC#: , 8-49200
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RYDEX HOLDINGS, LLC | 100% MEMBERSHIP INTEREST | |
| BELDEN, WILLIAM HINCHLIFFE III | VICE PRESIDENT | 1693322 |
| CACCIAPAGLIA, DONALD CHRISTOPHER | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1396644 |
| JACQUES, JULIE ANN | FINOP | 5212910 |
| JACQUES, JULIE ANN | TREASURER | 5212910 |
| LEE, AMY JO | SECRETARY | 1161869 |
| LEE, AMY JO | VICE PRESIDENT | 1161869 |
| MANGINI, DOUGLAS C | VICE PRESIDENT | 1414476 |
| MCGOVERN, KEVIN MICHAEL | VICE PRESIDENT | 1745533 |
| METZGER, DENNIS RYAN | ASSISTANT CHIEF COMPLIANCE OFFICER | 4888899 |
| MILLER, ELISABETH ANN | CHIEF COMPLIANCE OFFICER | 4381813 |
| WORF, JEFFREY ALLEN | VICE PRESIDENT | 1416591 |
Disclosures
| Regulatory Event | 1 |
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