UK
Usman R. Khan
GUGGENHEIM INVESTMENTS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6987861
UK
Professional summary
Usman Rahman Khan is a registered financial advisor currently at GUGGENHEIM INVESTMENTS located in Chicago, Illinois and GUGGENHEIM FUNDS DISTRIBUTORS, LLC located in Chicago, Illinois.
Usman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Usman has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Usman Rahman Khan's 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®
NoneExperience
Current
May 17, 2022 - Present
GUGGENHEIM INVESTMENTS
Office #1: 227 W. Monroe St 7th Floor, Chicago, IL, 60606RIA
CRD#: 105477
Chicago, IL
Current
May 17, 2022 - Present
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
Office #1: 227 West Monroe Street 7th Floor, Chicago, IL 60606RIA
BD
CRD#: 39805
Chicago, IL
Past
August 3, 2020 - July 12, 2021
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 111135
CHICAGO, IL
Past
August 3, 2020 - July 12, 2021
MESIROW FINANCIAL, INC.
BD
CRD#: 2764
CHICAGO, IL
Past
December 4, 2018 - September 8, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
CHICAGO, IL
Past
August 23, 2018 - September 8, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
CHICAGO, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GI
GUGGENHEIM INVESTMENTS
6TH AVENUE INVESTMENT MANAGEMENT COMPANY | SECURITY MANAGEMENT COMPANY, LLC | SECURITY INVESTORS, LLC | SECURITY GLOBAL INVESTORS | RYDEX|SGI | RYDEX INVESTMENTS | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS | 6TH AVENUE INVESTMENT MANAGEMENT COMPANY, LLC
CRD#: 105477 / SEC#: 801-8008
RIA
Registered Investment Advisory firm - (11/20/1971 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(5/18/2022)
RR
Alaska(5/18/2022)
RR
Arizona(5/18/2022)
RR
Arkansas(5/18/2022)
RR
California(5/18/2022)
RR
Colorado(5/18/2022)
RR
Connecticut(5/18/2022)
RR
Delaware(5/18/2022)
RR
District of Columbia(5/18/2022)
RR
Florida(5/18/2022)
RR
Georgia(5/18/2022)
RR
Hawaii(5/18/2022)
RR
Idaho(5/18/2022)
RR
Illinois(5/17/2022)
IAR
Illinois(5/17/2022)
RR
Indiana(5/18/2022)
RR
Iowa(5/18/2022)
RR
Kansas(5/18/2022)
RR
Kentucky(5/18/2022)
RR
Louisiana(5/18/2022)
RR
Maine(5/18/2022)
RR
Maryland(5/17/2022)
RR
Massachusetts(5/18/2022)
RR
Michigan(5/18/2022)
RR
Minnesota(5/18/2022)
RR
Mississippi(5/18/2022)
RR
Missouri(5/18/2022)
RR
Montana(5/18/2022)
RR
Nebraska(5/18/2022)
RR
Nevada(5/18/2022)
RR
New Hampshire(5/18/2022)
RR
New Jersey(5/18/2022)
RR
New Mexico(5/18/2022)
RR
New York(5/18/2022)
RR
North Carolina(5/18/2022)
RR
North Dakota(5/18/2022)
RR
Ohio(5/19/2022)
RR
Oklahoma(5/18/2022)
RR
Oregon(5/18/2022)
RR
Pennsylvania(5/18/2022)
RR
Puerto Rico(5/18/2022)
RR
Rhode Island(5/18/2022)
RR
South Carolina(5/18/2022)
RR
South Dakota(5/18/2022)
RR
Tennessee(5/18/2022)
RR
Texas(5/18/2022)
RR
Utah(5/18/2022)
RR
Vermont(5/18/2022)
RR
Virgin Islands(5/18/2022)
RR
Virginia(5/18/2022)
RR
Washington(5/18/2022)
RR
West Virginia(5/18/2022)
RR
Wisconsin(5/18/2022)
RR
Wyoming(5/18/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GI
GUGGENHEIM INVESTMENTS
6TH AVENUE INVESTMENT MANAGEMENT COMPANY | SECURITY MANAGEMENT COMPANY, LLC | SECURITY INVESTORS, LLC | SECURITY GLOBAL INVESTORS | RYDEX|SGI | RYDEX INVESTMENTS | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTMENTS ASSET MANAGEMENT | GUGGENHEIM INVESTMENTS | 6TH AVENUE INVESTMENT MANAGEMENT COMPANY, LLC
CRD#: 105477 / SEC#: 801-8008
RIA
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Contact information
Main Address
330 Madison Avenue 10th Floor, New York, NY 10017
Mailing Address
Phone number
(212) 739-0700
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 113 |
| AUM (Assets Under Management) | $ 7,395,263,411 |
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.
