Qi Yan

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT

Medford, OR

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CRD#: 5338547

Professional summary

Qi Yan is a registered financial advisor currently at GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC located in Medford, Oregon.

Qi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Qi has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Wilshire Fifth LLC ||Small Private Holding company of private investments ||LOCATED: Los Angeles, CA || Active Partner/Owner ||START: 06/2018 ||DEVOTE: 5hrs/mo with none during securities trading hrs ||investment related||+||

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Qi Yan'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

May 25, 2012 - Present

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 137432

Medford, OR

Past

October 10, 2007 - December 31, 2011

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 137432

SANTA MONICA, CA

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".

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

CRD#: 137432 / SEC#: 801-66786

RIA

Registered Investment Advisory firm - (6/14/2006 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(5/25/2012)

IAR

Oregon
(9/12/2024)

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

State Security Law Exam

IAR

Series 65

Date: 10/8/2007

Uniform Investment Adviser Law Examination

Current Firm

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

CRD#: 137432 / SEC#: 801-66786

RIA

Registered Investment Advisory firm - (6/14/2006 Approved)

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Contact information

Main Address

330 Madison Avenue 10th Floor, New York, NY 10017

Mailing Address

Phone number

(212) 739-0700

Established

Firm type

Fiscal year end

# of Employees

575

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC BROCHURE (6/5/2025)

Regulatory assets under management

Total Number of Accounts	232
AUM (Assets Under Management)	$ 228,739,114,272

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.

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Qi Yan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Qi Yan's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

Primary Firm SEC Registration

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/8/2007

Current Firm

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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