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NQ

Neal J. Quirk

GUGGENHEIM SECURITIES
Atlanta, GA 30305
Some features on this profile are disabled
CRD#: 6341332
NQ

Professional summary

Neal Jerome Quirk Jr, who also goes by Neal Jerome Quirk Jr, Neal Quirk, Neal Jerome Quirk, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in Atlanta, Georgia.

Neal is registered as a RR (Registered Representative) and started their career in finance in 2014. Neal has worked at 3 firms and has passed the Series 63, Series 66, Series 79TO, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Neal Jerome Quirk Jr | Neal Quirk | Neal Jerome Quirk

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 Neal Jerome Quirk Jr'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

May 16, 2022 - Present

GUGGENHEIM SECURITIES, LLC

Office #1: 3060 Peach Tree Road 3rd Floor One Buckhead Plaza, Atlanta, GA, 30305
BD
CRD#: 40638
Atlanta, GA
Past

July 16, 2019 - March 25, 2022

HARRIS WILLIAMS

BD
CRD#: 113930
RICHMOND, VA
Past

August 19, 2014 - November 3, 2016

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
ATLANTA, GA
Past

August 14, 2014 - November 3, 2016

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ATLANTA, GA

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
Georgia
(5/17/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 10/14/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 8/18/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/16/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/3/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 9/23/2014
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/2014
General Securities 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
TSOU, SUSANFINOP & PRINCIPAL FINANCIAL OFFICER6187001
VAN LITH, MARK ALANCHEIF EXECUTIVE OFFICER2263510
WINICK, HOWARD NEILPRINCIPAL OPERATIONS OFFICER1871689

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#: 40638Atlanta, GA 30305

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