CC
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
43 advisors
Number of Clients
1 client
Average Client Portfolio
$6.9B average
Assets Under Management
$6.9B
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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 Funds Distributors, LLC
October 2012 - Present · 13 yrs 3 mos
Guggenheim Funds Distributors, LLC Broker
October 2012 - Present · 13 yrs 3 mos
Guggenheim Investments
October 2010 - Present · 15 yrs 3 mos
Previous Registrations
Rydex Advisory Services, LLC
January 2009 - October 2010 · 1 yr 9 mos
Guggenheim Distributors, LLCBroker
June 2008 - March 2014 · 5 yrs 9 mos
Vanguard Marketing CorporationBroker
June 2005 - November 2006 · 1 yr 5 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.