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EK

Erin E. King

GUGGENHEIM INVESTOR SERVICES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5433491
EK

Professional summary

Erin Elizabeth King, who also goes by Erin Elizabeth Nyhoff, Erin Elizabeth Nyhoff-king, is a registered financial professional currently at GUGGENHEIM INVESTOR SERVICES, LLC located in Chicago, Illinois.

Erin is registered as a RR (Registered Representative) and started their career in finance in 2014. Erin has worked at 1 firm and has passed the SIE exam.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Erin Elizabeth Nyhoff | Erin Elizabeth Nyhoff-King

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 Erin Elizabeth King'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®
None

Experience

Current

August 13, 2014 - Present

GUGGENHEIM INVESTOR SERVICES, LLC

Office #1: 227 West Monroe Street, Chicago, IL 60606
BD
CRD#: 30096
Chicago, IL

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

GI
GUGGENHEIM INVESTOR SERVICES, LLC
GUGGENHEIM INVESTMENTS | INTER-ATLANTIC SECURITIES CORPORATION | GUGGENHEIM SECURITIES, LLC | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTOR SERVICES, LLC

CRD#: 30096 / SEC#: , 8-44742

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information

Main Address
330 Madison Avenue, New York, NY 10017
Mailing Address
330 Madison Avenue, New York, NY 10017
Phone number
(212) 901-9405
Established
Delaware since 12/31/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GUGGENHEIM FUNDS SERVICES, LLCMEMBER
CHAN, YING ZPRINCIPAL FINANCIAL AND OPERATIONS OFFICER4956885
DILORENZO, DINA MARIEMANAGING EXECUTIVE2664787
SAPERSTEIN, ROBERT ANDREWCHIEF COMPLIANCE OFFICER2567876

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.

Company Information

GUGGENHEIM INVESTOR SERVICES, LLC

CRD#: 30096Chicago, IL 60606

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