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Christopher William Taffe

Guggenheim Investments

New York, NY

Hagerstown, MD

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Current Employers
Guggenheim Investments

330 Madison Avenue 10Th Floor, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2014-03-06
  • IL RA
    APPROVED
    Since 2014-03-06

Branch Locations

330 Madison Avenue 10Th Floor, New York, NY 10017 • United States

Hagerstown, MD • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rydex Distributors, Inc. Rockville MD 01/2001 Present
Guggenheim Funds Distributors, Llc Rockville MD 03/2014 Present
  • 01/2001 → Present
    Rydex Distributors, Inc.
    Rockville, MD
  • 03/2014 → Present
    Guggenheim Funds Distributors, Llc
    Rockville, MD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-12
S63 Uniform Securities Agent State Law Examination 1999-08-11
  • S65 Uniform Investment Adviser Law Examination
    1999-08-12
  • S63 Uniform Securities Agent State Law Examination
    1999-08-11

View on SEC IAPD

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