CP
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 Broker
February 2010 - Present · 15 yrs 11 mos
Previous Registrations
Guggenheim Distributors, LLCBroker
January 2012 - March 2014 · 2 yrs 2 mos
New York Life Investment Management LLC
August 2004 - January 2010 · 5 yrs 5 mos
Nylife Distributors LLCBroker
August 2004 - January 2010 · 5 yrs 5 mos
Blackrock Investments, INC.Broker
June 1996 - August 2004 · 8 yrs 2 mos
Federated Securities CORP. Broker
November 1993 - March 1996 · 2 yrs 4 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.