John V. Palmer
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.
John Vernon Palmer III, who also goes by John Vernon Palmer, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2010. John had worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2017 - April 6, 2023
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
March 31, 2016 - September 12, 2017
CAREY CREDIT ADVISORS, LLC
October 22, 2010 - May 23, 2014
CNL FUND ADVISORS COMPANY
Primary Firm SEC Registration
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
CRD#: 137432 / SEC#: 801-66786
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
CRD#: 137432 / SEC#: 801-66786
Contact information
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
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