Abraham N. Kahn

GUGGENHEIM SECURITIES

Chicago, IL 60606

Some features on this profile are disabled

CRD#: 6513892

Professional summary

Abraham Nathan Kahn, who also goes by Abbi Kahn, Abraham Abbi Kahn, Abraham Nathan Kahn, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in Chicago, Illinois.

Abraham is registered as a RR (Registered Representative) and started their career in finance in 2016. Abraham has worked at 3 firms and has passed the Series 63, SIE, Series 79TO, Series 87, Series 86 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Abbi Kahn | Abraham Abbi Kahn | Abraham Nathan Kahn

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 Abraham Nathan Kahn'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 6, 2023 - Present

GUGGENHEIM SECURITIES, LLC

Office #1: 227 West Monroe Street, Chicago, IL 60606

CRD#: 40638

Chicago, IL

Past

August 1, 2022 - August 13, 2023

J.P. MORGAN SECURITIES LLC

CRD#: 79

CHICAGO, IL

Past

August 9, 2016 - July 12, 2018

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Illinois
(9/6/2023)

Exams

State Security Law Exam

Series 63

Date: 8/5/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/2/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79TO

Date: 8/1/2022

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 87

Date: 8/26/2016

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 8/19/2016

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 8/9/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

GUGGENHEIM SECURITIES, LLC

GUGGENHEIM CAPITAL MARKETS, LLC | LINKS SECURITIES LLC | LINKS SECURITIES INC. | GUGGENHEIM SECURITIES, LLC

CRD#: 40638 / SEC#: , 8-49107

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Abraham N. Kahn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Abraham Nathan Kahn's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/5/2022

SIE

Date: 1/2/2023

Series 79TO

Date: 8/1/2022

Series 87

Date: 8/26/2016

Series 86

Date: 8/19/2016

Series 7

Date: 8/9/2016

FINRA

Current Firm

GUGGENHEIM SECURITIES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GUGGENHEIM SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors