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FIRM PROFILE
Overview
GUGGENHEIM SECURITIES, LLC is located at 330 Madison Avenue, New York, NY 10017 and was first established at New York, Delaware in 01/29/1999. After operating for 27 years, GUGGENHEIM SECURITIES, LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of GUGGENHEIM SECURITIES, LLC’s clients are individuals and 0% of their clients are high net worth individuals. GUGGENHEIM SECURITIES, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at GUGGENHEIM SECURITIES, LLC are registered to handle securities or provide financial advice. The firm has 10 disclosures, 10 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access GUGGENHEIM SECURITIES, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at GUGGENHEIM SECURITIES, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for GUGGENHEIM SECURITIES, LLC Comes From
Understanding the Statistics for GUGGENHEIM SECURITIES, LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
330 Madison Avenue, New York, NY 10017
330 Madison Avenue 8th Floor, New York, NY 10017
Large
(212) 518-9200
Delaware since 01/29/1999
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
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Advisor's working at GUGGENHEIM SECURITIES, LLC
Edward Allan Boll
John Alexander Rurka
Fares D Noujaim
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