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Emma Oaks

Guggenheim Investments

New York, NY

Chicago, IL

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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 2024-12-10
  • IL RA
    APPROVED
    Since 2024-12-10

Branch Locations

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

227 West Monroe Street 7Th Floor, Chicago, IL 60606 • 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, Llc Chicago IL 07/2024 Present
Salesforce.cOm, Inc. Chicago IL 03/2022 05/2024
Kelly Mitchell Group, Inc. Chicago IL 08/2021 03/2022
Fidelity Investments Cincinnati OH 06/2021 08/2021
Episcopal Retirement Services Cincinnati OH 11/2015 08/2020
Dealer Management Services, Inc. Cincinnati OH 12/2019 08/2020
Miami University Of Ohio Oxford OH 08/2017 05/2021
Mt. Lookout Swim & Tennis Club Cincinnati OH 05/2016 08/2017
Fridge & Pantry Oxford OH 10/2018 05/2021
Saint Ursula Academy Cincinnati OH 08/2013 05/2017
Guggenheim Investments New York NY 12/2024 Present
  • 07/2024 → Present
    Guggenheim Funds Distributors, Llc
    Chicago, IL
  • 03/2022 → 05/2024
    Salesforce.cOm, Inc.
    Chicago, IL
  • 08/2021 → 03/2022
    Kelly Mitchell Group, Inc.
    Chicago, IL
  • 06/2021 → 08/2021
    Fidelity Investments
    Cincinnati, OH
  • 11/2015 → 08/2020
    Episcopal Retirement Services
    Cincinnati, OH
  • 12/2019 → 08/2020
    Dealer Management Services, Inc.
    Cincinnati, OH
  • 08/2017 → 05/2021
    Miami University Of Ohio
    Oxford, OH
  • 05/2016 → 08/2017
    Mt. Lookout Swim & Tennis Club
    Cincinnati, OH
  • 10/2018 → 05/2021
    Fridge & Pantry
    Oxford, OH
  • 08/2013 → 05/2017
    Saint Ursula Academy
    Cincinnati, OH
  • 12/2024 → Present
    Guggenheim Investments
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-12-03
  • S66 Uniform Combined State Law Examination
    2024-12-03
Other Names
  • Emma Dale Oaks

View on SEC IAPD

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STEPHANIE LYNN FAGENSON
Ross Gladstone
Logan Stephen Michals
JONATHAN HARRY SIEGEL
HAL WILLIAM BROWN
RICCARDO MARIA RAINIERI
TEDDY LELLOS

Other Offices

ISLET MANAGEMENT, LP · NEW YORK, NY
P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
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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