Leigh Ann Poggio

Current Employers

Guggenheim Partners Investment Management, Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-10-02
TX	RA	APPROVED	2013-08-23
CA	RA	APPROVED	2013-05-17

NY RA
APPROVED

Since 2021-10-02
TX RA
APPROVED

Since 2013-08-23
CA RA
APPROVED

Since 2013-05-17

Branch Locations

330 Madison Avenue, 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
Guggenheim Investments	New York	NY	03/2012	Present
Guggenheim Funds Distributors, Llc	Chicago	IL	04/2015	Present

03/2012 → Present

Guggenheim Investments

New York, NY
04/2015 → Present

Guggenheim Funds Distributors, Llc

Chicago, IL

Other Businesses

320-57 CORPORATION || BOARD MEMBER || RESIDENTIAL BUILDING CO-OP BOARD|| ||320 EAST 57TH STREET, NEW YORK NY 10022 || 8/2024 || 2 HRS/MO DEVOTED TO BUSINESS; 0 HRS DURING TRADING HOURS|| NOT INVESTMENT RELATED

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-04-22
S63	Uniform Securities Agent State Law Examination	1999-10-30

S66 Uniform Combined State Law Examination

2013-04-22
S63 Uniform Securities Agent State Law Examination

1999-10-30

View on SEC IAPD

Current Employers

Guggenheim Partners Investment Management, Llc

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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