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Current Employers
Guggenheim Investments

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2025-05-15
IL RA APPROVED 2015-08-25
  • SC RA
    APPROVED
    Since 2025-05-15
  • IL RA
    APPROVED
    Since 2015-08-25

Branch Locations

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

Fort Mill, SC • 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 Investments Chicago IL 07/2015 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-08-24
  • S66 Uniform Combined State Law Examination
    2015-08-24

View on SEC IAPD

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