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Usman Rahman Khan

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 2022-05-17
  • IL RA
    APPROVED
    Since 2022-05-17

Branch Locations

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

227 W. Monroe St, 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
Cibc Bank Usa Chicago IL 07/2016 07/2020
Lpl Financial Llc Chicago IL 07/2018 07/2020
Mesirow Financial Chicago IL 08/2020 06/2021
Guggenheim Funds Distributors, Llc Chicago IL 05/2022 Present
N/A Woodridge IL 07/2021 04/2022
  • 07/2016 → 07/2020
    Cibc Bank Usa
    Chicago, IL
  • 07/2018 → 07/2020
    Lpl Financial Llc
    Chicago, IL
  • 08/2020 → 06/2021
    Mesirow Financial
    Chicago, IL
  • 05/2022 → Present
    Guggenheim Funds Distributors, Llc
    Chicago, IL
  • 07/2021 → 04/2022
    N/A
    Woodridge, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-11-30
  • S66 Uniform Combined State Law Examination
    2018-11-30

View on SEC IAPD

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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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