CN
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 →Other Business Activities
Catherine owns a rental property in Chicago, IL, since 2014. She spends no time on this activity during business hours.
Employment History
Current Registrations
Guggenheim Investments
March 2014 - Present · 11 yrs 10 mos
Guggenheim Funds Distributors, LLC Broker
March 2007 - Present · 18 yrs 10 mos
Guggenheim Funds Distributors, LLC
March 2007 - Present · 18 yrs 10 mos
Previous Registrations
Claymore Advisors, LLC
March 2007 - November 2008 · 1 yr 8 mos
Morgan Stanley
September 2005 - September 2006 · 1 yr
Morgan Stanley Dw INC.Broker
August 2005 - September 2006 · 1 yr 1 mo
State Registrations6 states
ARILLAMSOKTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.