Steven Zeppenfeld
Professional summary
Steven Zeppenfeld, who also goes by Steven Michael Zeppendfeld, Steven M Zeppenfeld, Steven Michael Zeppenfeld, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in Chicago, Illinois.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2015. Steven has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Zeppenfeld's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 9, 2020 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 222 West Adams Street, Suite 1775, Chicago, IL 60606July 14, 2017 - September 25, 2020
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
June 1, 2015 - July 5, 2017
RAYMOND JAMES & ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/9/2020)
(9/9/2020)
(9/9/2020)
(7/9/2021)
(9/9/2020)
(8/30/2023)
(12/19/2022)
(9/9/2020)
(9/9/2020)
(9/9/2020)
(9/9/2020)
(9/9/2020)
(8/4/2023)
(9/9/2020)
(9/9/2020)
(9/9/2020)
(9/9/2020)
(9/9/2020)
(9/9/2020)
(9/9/2020)
(9/9/2020)
(9/9/2020)
(9/10/2020)
(9/9/2020)
(9/9/2020)
(12/16/2022)
(9/9/2020)
(9/9/2020)
(9/9/2020)
(9/9/2020)
(9/9/2020)
Exams
FINRA
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 |
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.
