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DS

Daniel R. Stroller

GUGGENHEIM SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 6081600
DS

Professional summary

Daniel Ryan Stroller, who also goes by Daniel Ryan Stroller, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2013. Daniel has worked at 6 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 79 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Ryan Stroller

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 Daniel Ryan Stroller'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

September 30, 2025 - Present

GUGGENHEIM SECURITIES, LLC

Office #1: 330 Madison Avenue, New York, NY 10017
BD
CRD#: 40638
New York, NY
Past

August 27, 2019 - September 23, 2025

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
New York, NY
Past

November 14, 2016 - September 17, 2019

INSTINET, LLC

BD
CRD#: 7897
NEW YORK, NY
Past

August 22, 2016 - November 14, 2016

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

February 11, 2014 - August 15, 2016

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
NEW YORK, NY
Past

July 17, 2013 - February 4, 2014

OPPENHEIMER & CO. INC.

BD
CRD#: 249
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
Arkansas
(2/13/2026)
RR
California
(9/30/2025)
RR
Colorado
(9/30/2025)
RR
Connecticut
(9/30/2025)
RR
Delaware
(9/30/2025)
RR
District of Columbia
(2/13/2026)
RR
Florida
(9/30/2025)
RR
Georgia
(9/30/2025)
RR
Hawaii
(2/13/2026)
RR
Illinois
(9/30/2025)
RR
Iowa
(9/30/2025)
RR
Kansas
(9/30/2025)
RR
Maryland
(9/30/2025)
RR
Massachusetts
(9/30/2025)
RR
Minnesota
(9/30/2025)
RR
Missouri
(2/13/2026)
RR
New Jersey
(9/30/2025)
RR
New York
(9/30/2025)
RR
North Carolina
(2/13/2026)
RR
Ohio
(9/30/2025)
RR
Oklahoma
(2/13/2026)
RR
Oregon
(2/13/2026)
RR
Pennsylvania
(9/30/2025)
RR
Puerto Rico
(2/13/2026)
RR
Rhode Island
(9/30/2025)
RR
Tennessee
(2/13/2026)
RR
Texas
(9/30/2025)
RR
Utah
(2/13/2026)
RR
Vermont
(2/13/2026)
RR
Virginia
(2/13/2026)
RR
Washington
(9/30/2025)
RR
Wisconsin
(9/30/2025)
RR
Wyoming
(2/13/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 7/22/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 11/14/2014
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 10/10/2014
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 7/14/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 7/17/2013
Investment Banking Registered Representative Examination
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)

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#: 40638New York, NY 10017

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