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Michael Carle Gearty

Guggenheim Investments

Port Washington, NY

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
NY RA APPROVED 2021-08-25
IL RA APPROVED 2014-05-28
  • NY RA
    APPROVED
    Since 2021-08-25
  • IL RA
    APPROVED
    Since 2014-05-28

Branch Locations

Port Washington, NY • 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
Guggenheim Funds Distributors, Inc. New York NY 02/2011 Present
  • 02/2011 → Present
    Guggenheim Funds Distributors, Inc.
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-05-23
S63 Uniform Securities Agent State Law Examination 1997-02-11
  • S65 Uniform Investment Adviser Law Examination
    2014-05-23
  • S63 Uniform Securities Agent State Law Examination
    1997-02-11

View on SEC IAPD

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