AP
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
39 advisors
Number of Clients
113 clients
Average Client Portfolio
$65.4M average
Assets Under Management
$7.4B
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Advisor Information
Office location
330 Madison Avenue, 10th Floor, New York, NY, 10017
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Guggenheim Investments
March 2014 - Present · 11 yrs 10 mos
Guggenheim Funds Distributors, LLC
July 2007 - Present · 18 yrs 6 mos
Guggenheim Funds Distributors, LLC Broker
July 2007 - Present · 18 yrs 6 mos
Previous Registrations
Claymore Advisors, LLC
July 2007 - November 2008 · 1 yr 4 mos
Pioneer Investment Management, INC.
October 2004 - October 2005 · 1 yr
Pioneer Funds Distributor, INC.Broker
October 2004 - October 2005 · 1 yr
Tower Square Securities, INC.Broker
April 2002 - October 2004 · 2 yrs 6 mos
First Montauk Securities CORP.Broker
May 2001 - July 2001 · 2 mos
Zachary Jackson Securities, LPBroker
November 1999 - March 2001 · 1 yr 4 mos
Zachary Jackson Securities, LPBroker
December 1998 - February 1999 · 2 mos
Van Kampen Funds INC.Broker
November 1997 - September 1998 · 10 mos
Reich & Tang Distributors L.P.Broker
November 1995 - April 1997 · 1 yr 5 mos
Bear, Stearns & CO. INC. Broker
April 1993 - October 1995 · 2 yrs 6 mos
Glickenhaus & CO.Broker
June 1989 - March 1993 · 3 yrs 9 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.