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John Frederic Chisholm

Guggenheim Investments

New York, NY

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Current Employers
Guggenheim Investments

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-26
IL RA APPROVED 2014-03-04
  • NY RA
    APPROVED
    Since 2021-08-26
  • IL RA
    APPROVED
    Since 2014-03-04

Branch Locations

330 Madison Avenue 10Th Floor, New York, NY 10017 • 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
Guggenheim Funds Distributors, Inc. Lisle IL 04/2011 Present
  • 04/2011 → Present
    Guggenheim Funds Distributors, Inc.
    Lisle, IL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-11
S63 Uniform Securities Agent State Law Examination 1997-01-28
  • S65 Uniform Investment Adviser Law Examination
    2006-05-11
  • S63 Uniform Securities Agent State Law Examination
    1997-01-28

View on SEC IAPD

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KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
COMPASS GROUP LLC · NEW YORK, NY
CRESTVIEW PARTNERS · NEW YORK, NY
LEEDS EQUITY PARTNERS · NEW YORK, NY

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