JS
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
Loading...
Advisor Information
Office location
330 Madison Avenue, 10th Floor, New York, NY, 10017
Get directionsRegulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Criminal
October 2009Final Disposition
Employment History
Current Registrations
Guggenheim Investments
August 2014 - Present · 11 yrs 5 mos
Guggenheim Funds Distributors, LLC
March 2014 - Present · 11 yrs 10 mos
Guggenheim Funds Distributors, LLC Broker
March 2014 - Present · 11 yrs 10 mos
Previous Registrations
Guggenheim Distributors, LLCBroker
June 2011 - March 2014 · 2 yrs 9 mos
State Registrations10 states
AZCACOIDILMTNMNVUTWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.