Michael Evans
Professional summary
Michael Evans, who also goes by Michael Gerard Evans, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2010. Michael has worked at 7 firms and has passed the Series 63, SIE, Series 57, Series 7 and Series 55 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Evans's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 14, 2026 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017October 1, 2024 - July 6, 2026
BOFA SECURITIES, INC.
July 26, 2022 - September 10, 2024
TOURMALINE PARTNERS, LLC
March 1, 2021 - May 27, 2021
BTIG, LLC
July 10, 2018 - March 1, 2021
SCOTIA CAPITAL (USA) INC.
March 31, 2014 - March 4, 2015
BMO CAPITAL MARKETS CORP.
December 13, 2010 - September 27, 2011
BLACKROCK INVESTMENTS, 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
(7/14/2026)
Exams
Series 55
Date: 6/19/2014
Limited Representative-Equity Trader ExamFINRA
Investors' Exchange LLC
Nasdaq Stock Market
Current 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 |
| SIRNA, KRISTINE M | CHIEF OPERATIONS PRINCIPAL & PRINCIPAL OPERATIONS OFFICER | 5971785 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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