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EW

Edward H. Wendel

GUGGENHEIM SECURITIES
San Francisco, CA 94108
Some features on this profile are disabled
CRD#: 5930353
EW

Professional summary

Edward Harrisson Wendel is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in San Francisco, California.

Edward is registered as a RR (Registered Representative) and started their career in finance in 2011. Edward has worked at 5 firms and has passed the Series 63, Series 87, SIE, Series 86, Series 7 and Series 79 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Edward Harrisson Wendel's CRS (Customer Relationship Summary).
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

February 18, 2026 - Present

GUGGENHEIM SECURITIES, LLC

Office #1: 601 California Street, Suite 610, San Francisco, CA 94108
BD
CRD#: 40638
San Francisco, CA
Past

December 15, 2015 - January 22, 2021

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

December 18, 2014 - December 24, 2015

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 28, 2012 - February 25, 2013

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
NEW YORK, NY
Past

September 27, 2011 - December 31, 2012

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
NEW YORK, NY

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
California
(2/18/2026)
RR
Colorado
(2/19/2026)
RR
Connecticut
(2/19/2026)
RR
Delaware
(2/18/2026)
RR
District of Columbia
(2/20/2026)
RR
Georgia
(2/20/2026)
RR
Iowa
(2/18/2026)
RR
Kansas
(2/18/2026)
RR
Maryland
(2/20/2026)
RR
Massachusetts
(2/19/2026)
RR
Minnesota
(2/18/2026)
RR
Missouri
(2/18/2026)
RR
New Jersey
(2/20/2026)
RR
Ohio
(2/18/2026)
RR
Oklahoma
(2/18/2026)
RR
Pennsylvania
(2/19/2026)
RR
Tennessee
(2/19/2026)
RR
Utah
(2/19/2026)
RR
Vermont
(2/18/2026)
RR
Virginia
(2/19/2026)
RR
Wisconsin
(2/18/2026)
RR
Wyoming
(2/19/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 2/13/2026
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 87
Date: 1/17/2026
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
SIE
Date: 10/29/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 2/2/2015
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 1/2/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 9/26/2011
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

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)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LINKS HOLDINGS, LLCMEMBER
GUGGENHEIM MANAGER, INC.MANAGING MEMBER
LOWERY WHILLE, TRACYCHIEF COMPLIANCE OFFICER2872693
MILLSTEIN, JAMES E.CO-CHARIMAN4270577
SCHWARTZ, ALAN DAVIDCO-CHAIRMAN416184
SCHWARTZ, ANDREW JONCHIEF FINANCIAL OFFICER5121914
SIRNA, KRISTINE MCHIEF OPERATIONS PRINCIPAL & PRINCIPAL OPERATIONS OFFICER5971785
TSOU, SUSANFINOP & PRINCIPAL FINANCIAL OFFICER6187001
VAN LITH, MARK ALANCHEIF EXECUTIVE OFFICER2263510

Disclosures

Regulatory Event10

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 SECURITIES, LLC

CRD#: 40638San Francisco, CA 94108

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