CT
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
March 2014 - Present · 11 yrs 10 mos
Guggenheim Funds Distributors, LLC
March 2014 - Present · 11 yrs 10 mos
Previous Registrations
Guggenheim Distributors, LLCBroker
February 2001 - March 2014 · 13 yrs 1 mo
Ids Life Insurance CompanyBroker
September 1999 - March 2001 · 1 yr 6 mos
American Express Financial Advisors INC. Broker
September 1999 - March 2001 · 1 yr 6 mos
State Registrations52 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.