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Steven Charles Guggenheim

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Cincinnati, OH

Sarasota, FL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-06-12
TX RA APPROVED_RES 2003-06-17
OH RA APPROVED 1999-06-28
  • FL RA
    APPROVED
    Since 2023-06-12
  • TX RA
    APPROVED_RES
    Since 2003-06-17
  • OH RA
    APPROVED
    Since 1999-06-28

Branch Locations

5905 E Galbraith Rd, Cincinnati, OH 45236 • United States

Sarasota, FL • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Cincinnati OH 03/1997 Present
Bank Of America,Na Cincinnati OH 12/2009 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-06-26
S65 Uniform Investment Adviser Law Examination 1997-06-19
  • S63 Uniform Securities Agent State Law Examination
    1997-06-26
  • S65 Uniform Investment Adviser Law Examination
    1997-06-19
Other Names
  • Steven C Guggenheim
  • Guggy Guggenheim

View on SEC IAPD

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QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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