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Current Employers
Guggenheim Investments

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-07-27
  • NY RA
    APPROVED
    Since 2026-07-27

Branch Locations

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
Rock Harbor, Llc Birmingham MI 03/2025 06/2026
Foreside Fund Services, Llc Birmingham MI 04/2025 06/2026
Compass Point Research And Trading, Llc Washington DC 07/2024 10/2024
Comerica Bank Detroit MI 06/2023 08/2023
Jackson National Insurance East Lansing MI 10/2022 01/2023
Moose Preserve Bloomfield Hills MI 12/2024 04/2025
Getscale Austin TX 06/2021 08/2021
Student Birmingham MI 01/2015 05/2021
Michigan State University East Lansing MI 08/2020 04/2024
Rock Harbor Capital Llc Birmingham MI 06/2025 06/2026
Guggenheim Investments, Llc New York NY 07/2026 Present
Guggenheim Funds Distributors, Llc Chicago IL 07/2026 Present
  • 03/2025 → 06/2026
    Rock Harbor, Llc
    Birmingham, MI
  • 04/2025 → 06/2026
    Foreside Fund Services, Llc
    Birmingham, MI
  • 07/2024 → 10/2024
    Compass Point Research And Trading, Llc
    Washington, DC
  • 06/2023 → 08/2023
    Comerica Bank
    Detroit, MI
  • 10/2022 → 01/2023
    Jackson National Insurance
    East Lansing, MI
  • 12/2024 → 04/2025
    Moose Preserve
    Bloomfield Hills, MI
  • 06/2021 → 08/2021
    Getscale
    Austin, TX
  • 01/2015 → 05/2021
    Student
    Birmingham, MI
  • 08/2020 → 04/2024
    Michigan State University
    East Lansing, MI
  • 06/2025 → 06/2026
    Birmingham, MI
  • 07/2026 → Present
    Guggenheim Investments, Llc
    New York, NY
  • 07/2026 → Present
    Guggenheim Funds Distributors, Llc
    Chicago , IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-06-05
  • S66 Uniform Combined State Law Examination
    2025-06-05

View on SEC IAPD

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