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RS

Richard Scott

GUGGENHEIM SECURITIES
Houston, TX 77010
Some features on this profile are disabled
CRD#: 7389635
RS
Richard ScottGUGGENHEIM SECURITIES

Professional summary

Richard Scott, who also goes by Richie Scott, Rick Scott, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in Houston, Texas.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2022. Richard has worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.

Aliases

Richie Scott | Rick Scott

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 Richard Scott'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

June 23, 2026 - Present

GUGGENHEIM SECURITIES, LLC

Office #1: 1301 Mckinney Street Suite 3100, Houston, TX 77010
BD
CRD#: 40638
Houston, TX
Past

April 22, 2025 - June 16, 2026

MOELIS & COMPANY LLC

BD
CRD#: 145115
HOUSTON, TX
Past

September 19, 2022 - May 7, 2025

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
Houston, TX

State Registrations and Notice Filings

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

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
Texas
(6/23/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 9/23/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/7/2025
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 9/19/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/17/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

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

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

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

NamePositionCRD#
LINKS HOLDINGS, LLCMEMBER
GUGGENHEIM MANAGER, INC.MANAGING MEMBER
LOWERY WHILLE, TRACYCHIEF COMPLIANCE OFFICER2872693
MILLSTEIN, JAMES E.CO-CHARIMAN4270577
SCHWARTZ, ALAN DAVIDCO-CHAIRMAN416184
SCHWARTZ, ANDREW JONCHIEF FINANCIAL OFFICER5121914
SIRNA, KRISTINE MCHIEF OPERATIONS PRINCIPAL & PRINCIPAL OPERATIONS OFFICER5971785
TSOU, SUSANFINOP & PRINCIPAL FINANCIAL OFFICER6187001
VAN LITH, MARK ALANCHEIF EXECUTIVE OFFICER2263510

Disclosures

Regulatory Event10

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.

Company Information

GUGGENHEIM SECURITIES, LLC

CRD#: 40638Houston, TX 77010

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