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Current Employers
Guggenheim Investment Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-04-08
  • FL RA
    APPROVED
    Since 2024-04-08

Branch Locations

Miami, FL • 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
Alvarium Investment Advisors (Us), Inc. Miami FL 03/2010 10/2023
Guggenheim Investment Advisors, Llc Miami FL 10/2023 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-04-22
  • S65 Uniform Investment Adviser Law Examination
    2010-04-22

View on SEC IAPD

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