WC
William J. Costigan
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT
Sun Valley, ID
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CRD#: 5600574
WC
Professional summary
William Joseph Costigan, who also goes by William Joseph Costigan III, William Joseph Costigan, is a registered financial advisor currently at GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC located in Sun Valley, Idaho and GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in Chicago, Illinois.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. William has worked at 6 firms and has passed the Series 66, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William Joseph Costigan Iii | William Joseph Costigan
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.
GLOBAL INTERDEPENDENCE CENTER|| BOARD MEMBER||501(c)(3) PUBLIC POLICY INSTITUTE||10 NORTH INDEPENDENCE MALL, 5TH FL SW, PHILADELPHIA PA||12/1/2023||1 HR/MO DEVOTED TO BUSINESS; 1 HR DURING TRADING HOURS||NOT INVESTMENT RELATED COSTIGAN & SONS, LLC||MEMBER||INVESTING|| ||1270 VIA PORTOFINO, NAPLES, FL 34108 ||12/14/2006||0 HRS/MO DEVOTED TO BUSINESS; 0 HRS DURING TRADING HOURS||INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view William Joseph Costigan'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®
NoneExperience
Current
February 21, 2025 - Present
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 137432
Sun Valley, ID
Current
June 13, 2022 - Present
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
Office #1: 227 West Monroe Street 7th Floor, Chicago, IL 60606RIA
BD
CRD#: 39805
Chicago, IL
Past
February 22, 2024 - February 27, 2025
GUGGENHEIM INVESTMENTS
RIA
CRD#: 105477
Sun Valley, ID
Past
September 3, 2010 - December 1, 2010
RUSSELL INVESTMENTS
RIA
CRD#: 105734
SEATTLE, WA
Past
August 6, 2010 - December 1, 2010
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
BD
CRD#: 21771
SEATTLE, WA
Past
November 12, 2008 - January 13, 2009
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
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".
GP
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
GUGGENHEIM GLOBAL INVESTMENTS | GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC | GUGGENHEIM PARTNERS ASSET MANAGEMENT, LLC | GUGGENHEIM PARTNERS ASSET MANAGEMENT, INC. | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS
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.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
RR
Alabama(6/22/2022)
RR
Alaska(6/27/2022)
RR
Arizona(6/23/2022)
RR
Arkansas(6/23/2022)
RR
California(6/14/2022)
RR
Colorado(6/23/2022)
RR
Connecticut(6/14/2022)
RR
Delaware(6/27/2022)
RR
District of Columbia(6/23/2022)
RR
Florida(6/15/2022)
RR
Georgia(6/15/2022)
RR
Hawaii(7/8/2022)
RR
Idaho(6/22/2022)
IAR
Idaho(2/21/2025)
RR
Illinois(6/27/2022)
RR
Indiana(7/11/2022)
RR
Iowa(6/14/2022)
RR
Kansas(6/28/2022)
RR
Kentucky(6/23/2022)
RR
Louisiana(6/28/2022)
RR
Maine(6/14/2022)
RR
Maryland(6/15/2022)
RR
Massachusetts(6/15/2022)
RR
Michigan(6/16/2022)
RR
Minnesota(6/23/2022)
RR
Mississippi(6/23/2022)
RR
Missouri(6/14/2022)
RR
Montana(6/14/2022)
RR
Nebraska(6/15/2022)
RR
Nevada(6/28/2022)
RR
New Hampshire(6/23/2022)
RR
New Jersey(6/24/2022)
RR
New Mexico(6/17/2022)
RR
New York(7/11/2022)
RR
North Carolina(6/23/2022)
RR
North Dakota(6/27/2022)
RR
Ohio(6/14/2022)
RR
Oklahoma(6/23/2022)
RR
Oregon(6/20/2022)
RR
Pennsylvania(6/16/2022)
RR
Puerto Rico(7/4/2022)
RR
Rhode Island(6/23/2022)
RR
South Carolina(6/24/2022)
RR
South Dakota(7/8/2022)
RR
Tennessee(6/23/2022)
RR
Texas(6/16/2022)
RR
Utah(6/14/2022)
RR
Vermont(6/22/2022)
RR
Virgin Islands(6/22/2022)
RR
Virginia(6/25/2022)
RR
Washington(6/23/2022)
RR
West Virginia(6/23/2022)
RR
Wisconsin(6/15/2022)
RR
Wyoming(7/6/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GP
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
GUGGENHEIM GLOBAL INVESTMENTS | GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC | GUGGENHEIM PARTNERS ASSET MANAGEMENT, LLC | GUGGENHEIM PARTNERS ASSET MANAGEMENT, INC. | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS
CRD#: 137432 / SEC#: 801-66786
RIA
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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)
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.
