Ronnie J. Habibian
Professional summary
Ronnie J Habibian, who also goes by Ronnie J Habibian, Habibian J Ronnie J, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.
Ronnie is registered as a RR (Registered Representative) and started their career in finance in 2012. Ronnie has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 57, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ronnie J Habibian's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 31, 2023 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017August 2, 2016 - August 14, 2023
JEFFERIES LLC
July 11, 2014 - August 3, 2016
J.P. MORGAN SECURITIES LLC
January 2, 2012 - June 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/11/2023)
(10/4/2023)
(8/15/2023)
(8/29/2023)
(10/4/2023)
(10/4/2023)
(11/20/2023)
(7/31/2023)
(10/4/2023)
(8/4/2023)
(8/3/2023)
(10/4/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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 |
| 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 |
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