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AM

Alison A. Macartney

GUGGENHEIM INVESTMENTS
New York, NY 10017
Some features on this profile are disabled
CRD#: 5748207
AM

Professional summary

Alison Anne Macartney, who also goes by Alison Anne Macartney, is a registered financial advisor currently at GUGGENHEIM INVESTMENTS located in New York, New York and GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in New York, New York.

Alison is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Alison has worked at 6 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Alison Anne Macartney

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) - RIA

Click below to view Alison Anne Macartney'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

December 6, 2024 - Present

GUGGENHEIM INVESTMENTS

Office #1: 330 Madison Avenue 10th Floor, New York, NY 10017
RIA
CRD#: 105477
New York, NY
Current

October 24, 2024 - Present

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

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

September 5, 2018 - October 1, 2024

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
NEW YORK, NY
Past

August 2, 2013 - August 7, 2017

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

February 14, 2011 - July 20, 2011

PIMCO INVESTMENTS LLC

BD
CRD#: 154957
NEW YORK, NY
Past

April 28, 2010 - February 14, 2011

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
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 INVESTMENTS
6TH AVENUE INVESTMENT MANAGEMENT COMPANY | SECURITY MANAGEMENT COMPANY, LLC | SECURITY INVESTORS, LLC | SECURITY GLOBAL INVESTORS | RYDEX|SGI | RYDEX INVESTMENTS | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS | 6TH AVENUE INVESTMENT MANAGEMENT COMPANY, LLC

CRD#: 105477 / SEC#: 801-8008

RIA
Registered Investment Advisory firm - (11/20/1971 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
New York
(10/24/2024)
IAR
New York
(12/6/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/6/2024
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/9/2016
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/27/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GI
GUGGENHEIM INVESTMENTS
6TH AVENUE INVESTMENT MANAGEMENT COMPANY | SECURITY MANAGEMENT COMPANY, LLC | SECURITY INVESTORS, LLC | SECURITY GLOBAL INVESTORS | RYDEX|SGI | RYDEX INVESTMENTS | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS | 6TH AVENUE INVESTMENT MANAGEMENT COMPANY, LLC

CRD#: 105477 / SEC#: 801-8008

RIA
Registered Investment Advisory firm - (11/20/1971 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
20

SEC notice filing (53 States and Territories)

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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts113
AUM (Assets Under Management)$ 7,395,263,411

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 INVESTMENTS

CRD#: 105477New York, NY 10017

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