Andrew E. Mcenroe
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.
Andrew Edward Mcenroe, who also goes by Andrew Mcenroe, Andy Mcenroe, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2008. Andrew had worked at 4 firms and has passed the Series 66, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2025 - June 27, 2025
GUGGENHEIM SECURITIES, LLC
June 25, 2015 - March 13, 2025
RAYMOND JAMES & ASSOCIATES, INC.
June 25, 2015 - March 13, 2025
RAYMOND JAMES & ASSOCIATES, INC.
January 2, 2013 - July 2, 2015
BB&T SECURITIES, LLC
January 2, 2013 - July 2, 2015
BB&T SECURITIES, LLC
March 5, 2009 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
October 6, 2008 - January 2, 2013
SCOTT & STRINGFELLOW, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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