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Suzanne Stone

GUGGENHEIM INVESTMENT ADVISORS
New York, NY 10017
Some features on this profile are disabled
CRD#: 5558728
SS

Professional summary

Suzanne Stone, who also goes by Suzanne Jane Stone, is a registered financial advisor currently at GUGGENHEIM INVESTMENT ADVISORS, LLC located in New York, New York and GUGGENHEIM INVESTOR SERVICES, LLC located in New York, New York.

Suzanne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Suzanne has worked at 4 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Suzanne Jane Stone

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.
Beekman Landing Condominium; not investment-related; 130 Beekman Street, New York, New York 10038; Board Member of Condominium; started in 2022; 1 hour per month and zero hours during business hours.; voting on new board members, changes in condo, etc.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Suzanne Stone'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

September 17, 2014 - Present

GUGGENHEIM INVESTMENT ADVISORS, LLC

Office #1: 330 Madison Avenue 10th Floor, New York, NY 10017
RIA
CRD#: 108263
New York, NY
Current

April 26, 2013 - Present

GUGGENHEIM INVESTOR SERVICES, LLC

Office #1: 330 Madison Avenue, New York, NY 10017
BD
CRD#: 30096
New York, NY
Current

February 16, 2018 - Present

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Office #1: 330 Madison Ave, New York, NY 10017-5001
RIA
BD
CRD#: 39805
New York, NY
Past

April 12, 2012 - April 1, 2013

STRATTON CAPITAL MANAGEMENT, LTD.

BD
CRD#: 104122
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".
GI
GUGGENHEIM INVESTMENT ADVISORS, LLC
ABS FINANCIAL ADVISORS INC | GUGGENHEIM WEALTH MANAGEMENT | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENT OFFICE | GUGGENHEIM INVESTMENT ADVISORY SOLUTIONS | GUGGENHEIM INVESTMENT ADVISORY | GUGGENHEIM INVESTMENT ADVISORS, LLC | GUGGENHEIM INVESTMENT ADVISORS, INC.

CRD#: 108263 / SEC#: 801-57781

RIA
Registered Investment Advisory firm - (7/18/2000 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.
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

IAR
Illinois
(9/17/2014)
RR
New York
(11/11/2013)
IAR
New York
(2/5/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/11/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/23/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/27/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GI
GUGGENHEIM INVESTMENT ADVISORS, LLC
ABS FINANCIAL ADVISORS INC | GUGGENHEIM WEALTH MANAGEMENT | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENT OFFICE | GUGGENHEIM INVESTMENT ADVISORY SOLUTIONS | GUGGENHEIM INVESTMENT ADVISORY | GUGGENHEIM INVESTMENT ADVISORS, LLC | GUGGENHEIM INVESTMENT ADVISORS, INC.

CRD#: 108263 / SEC#: 801-57781

RIA
Registered Investment Advisory firm - (7/18/2000 Approved)
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Contact information

Main Address
330 Madison Avenue 10th Floor, New York, NY 10017
Mailing Address
Phone number
(866) 285-3655
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (4 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GUGGENHEIM INVESTMENT ADVISORS, LLC BROCHURE - MAY 14 2025 (5/14/2025)

Regulatory assets under management

Total Number of Accounts54
AUM (Assets Under Management)$ 521,966,834

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 INVESTMENT ADVISORS, LLC

CRD#: 108263New York, NY 10017

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