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Katherine Anne Nuss

Guggenheim Investments

Maple Grove, MN

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
MN RA APPROVED 2025-08-12
NY RA APPROVED 2025-08-12
  • MN RA
    APPROVED
    Since 2025-08-12
  • NY RA
    APPROVED
    Since 2025-08-12

Branch Locations

Maple Grove, MN • United States

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
Columbia Management Investment Distributors Inc Minneapolis MN 07/2011 07/2025
Guggenheim Funds Distributors, Llc Chicago IL 07/2025 Present
Guggenheim Investments, Llc New York NY 08/2025 Present
  • 07/2011 → 07/2025
    Columbia Management Investment Distributors Inc
    Minneapolis, MN
  • 07/2025 → Present
    Guggenheim Funds Distributors, Llc
    Chicago, IL
  • 08/2025 → Present
    Guggenheim Investments, Llc
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-08-11
  • S66 Uniform Combined State Law Examination
    2025-08-11
Other Names
  • Katherine Anne Nuss
  • Katherine A Brentz
  • Katherine A Nuss

View on SEC IAPD

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