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330 Madison Avenue 10Th Floor, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-02-17 |
| CT | RA | APPROVED | 2025-02-06 |
| IL | RA | APPROVED | 2010-02-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guggenheim Securities, Llc | New York | NY | 03/2005 | Present |
| Guggenheim Investment Advisors, Llc | New York | NY | 10/2005 | Present |
| Guggenheim Fund Distributors, Llc | New York | NY | 04/2017 | Present |
LEHIGH UNIVERSITY BOARD OF TRUSTEES||BOARD MEMBER||UNIVERSITY BOARD||27 MEMORIAL DR W, BETHLEHEM, PA 18015||7/18/2024||2 HRS/MO DEVOTED TO BUSINESS; 2 HRS DURING TRADING HOURS||NOT INVESTMENT RELATED ||+|| TWG, LLC | | Nature of Business: Varied | | Location: 226 W Monroe St, Suite 5000, Chicago IL 60606 | | Role: Employee | | Started: 7/20/2025 as corrected 2/26/2026 | | Devotes: De minimis hours per month with De minimis hours during trading hours | | Investment Related Business | |Duties: Full-time duties performed for Guggenheim Investments; only very limited, not-Investment advisory services for the entity| |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-10 |
| S63 | Uniform Securities Agent State Law Examination | 1995-12-11 |
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