RC
Rosa L. Chiu
GUGGENHEIM SECURITIES
New York, NY 10017
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CRD#: 5930063
RC
Professional summary
Rosa Lisa Chiu, who also goes by Lisa Chiu, Rosa Lisa Chiu, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.
Rosa is registered as a RR (Registered Representative) and started their career in finance in 2013. Rosa has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 52 and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Lisa Chiu | Rosa Lisa Chiu
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.
CRS (Client Relationship Summary) - BD
Click below to view Rosa Lisa Chiu'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
May 17, 2022 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017BD
CRD#: 40638
New York, NY
Past
October 22, 2018 - April 29, 2022
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 28, 2015 - August 23, 2018
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
August 6, 2013 - November 19, 2014
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(3/20/2025)
RR
Alaska(7/21/2022)
RR
Arizona(3/20/2025)
RR
Arkansas(3/20/2025)
RR
California(7/21/2022)
RR
Colorado(3/20/2025)
RR
Connecticut(7/21/2022)
RR
Delaware(7/21/2022)
RR
District of Columbia(3/20/2025)
RR
Florida(7/21/2022)
RR
Georgia(3/20/2025)
RR
Hawaii(3/20/2025)
RR
Idaho(3/20/2025)
RR
Illinois(7/21/2022)
RR
Indiana(3/20/2025)
RR
Iowa(3/20/2025)
RR
Kansas(7/21/2022)
RR
Kentucky(3/20/2025)
RR
Louisiana(3/20/2025)
RR
Maine(3/20/2025)
RR
Maryland(7/21/2022)
RR
Massachusetts(7/21/2022)
RR
Michigan(7/21/2022)
RR
Minnesota(3/20/2025)
RR
Mississippi(3/20/2025)
RR
Missouri(3/20/2025)
RR
Montana(3/20/2025)
RR
Nebraska(3/20/2025)
RR
Nevada(3/20/2025)
RR
New Hampshire(3/20/2025)
RR
New Jersey(3/20/2025)
RR
New Mexico(3/20/2025)
RR
New York(5/17/2022)
RR
North Carolina(3/20/2025)
RR
North Dakota(3/20/2025)
RR
Ohio(7/21/2022)
RR
Oklahoma(3/20/2025)
RR
Oregon(3/20/2025)
RR
Pennsylvania(7/21/2022)
RR
Puerto Rico(3/20/2025)
RR
Rhode Island(3/20/2025)
RR
South Carolina(3/20/2025)
RR
South Dakota(3/20/2025)
RR
Tennessee(3/20/2025)
RR
Texas(7/21/2022)
RR
Utah(3/20/2025)
RR
Vermont(3/20/2025)
RR
Virginia(3/20/2025)
RR
Washington(3/20/2025)
RR
West Virginia(3/20/2025)
RR
Wisconsin(7/21/2022)
RR
Wyoming(3/20/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/14/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
GS
GUGGENHEIM SECURITIES, LLC
GUGGENHEIM CAPITAL MARKETS, LLC | LINKS SECURITIES LLC | LINKS SECURITIES INC. | GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
330 Madison Avenue, New York, NY 10017
Mailing Address
330 Madison Avenue 8th Floor, New York, NY 10017
Phone number
(212) 518-9200
Established
Delaware since 01/29/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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 |
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.
