James Paul Gruver III
Professional Summary
James Paul Gruver III, who also goes by James Paul Gruver, is a registered financial advisor currently at GUGGENHEIM SECURITIES, LLC located in Chicago, Illinois. James is registered as a RR (Registered Representative) and started their career in finance in 2022. James has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Paul Gruver III, James Paul Gruver
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
4 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
GUGGENHEIM CAPITAL MARKETS, LLC | LINKS SECURITIES LLC | LINKS SECURITIES INC. | GUGGENHEIM SECURITIES, LLC
Contact Information
Main Address
330 Madison Avenue, New York, NY 10017Mailing Address
330 Madison Avenue 8th Floor, New York, NY 10017Phone Number
(212) 518-9200Established
Delaware since 01/29/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | 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 |
| SIRNA, KRISTINE M | CHIEF OPERATIONS PRINCIPAL & PRINCIPAL OPERATIONS OFFICER | 5971785 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHIEF EXECUTIVE OFFICER | 2263510 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(8/12/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Aug 2022About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Paul Gruver III's CRS (Customer Relationship Summary).
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