Lee Tracy Personeni

Current Employers

Guggenheim Investments

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

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2025-02-06
NY	RA	APPROVED	2021-08-26
IL	RA	APPROVED	2014-03-04

NJ RA
APPROVED

Since 2025-02-06
NY RA
APPROVED

Since 2021-08-26
IL RA
APPROVED

Since 2014-03-04

Branch Locations

Saddle River, NJ • 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

Organization	City	State	From	To
Claymore Securities, Inc.	Lisle	IL	04/2010	Present

04/2010 → Present

Claymore Securities, Inc.

Lisle, IL

Previous Registrations

2005-04-05 → 2010-04-20

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Jersey City, NJ

Plainsboro, NJ

Atlanta, GA

New York, NY

New York, NY
2004-05-12 → 2004-11-03

Wells Fargo Clearing Services, Llc

New York, NY

Other Businesses

Owner of a 20% stake in Surf Souliel, a swimsuit retailer located at 484 Plandome Rd. Manhasset, NY 11030. This is not an investment related business and 0 hours will be devoted to it per month, in securities trading hours or otherwise. The start date of the relationship was 9/12/2020.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-07-31
S63	Uniform Securities Agent State Law Examination	1997-08-06

S65 Uniform Investment Adviser Law Examination

2003-07-31
S63 Uniform Securities Agent State Law Examination

1997-08-06

Other Names

Lee Personeni Daniel

View on SEC IAPD