AS
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
January 2003 - Present · 23 yrs
Previous Registrations
Claymore Advisors, LLC
March 2004 - November 2008 · 4 yrs 8 mos
Claymore Securities, INC.
June 2003 - July 2004 · 1 yr 1 mo
Morgan Stanley
March 2002 - November 2002 · 8 mos
Morgan Stanley Dw INC.Broker
April 2001 - November 2002 · 1 yr 7 mos
State Registrations18 states
ARAZCODCDEIDILLAMDMTNMNVOKTXUTVAWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.