Adam Dutton
Professional summary
Adam Dutton is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in Chicago, Illinois.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2017. Adam has worked at 2 firms and has passed the Series 63, Series 7, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Adam Dutton's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2018 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 222 West Adams Street, Suite 1775, Chicago, IL 60606July 27, 2017 - October 2, 2018
FIFTH THIRD SECURITIES, 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
(9/12/2018)
(1/9/2019)
(11/4/2025)
(2/5/2025)
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
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