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Richard G Jaeger

Guggenheim Investments

New York, NY

Garden City, NY

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Current Employers
Guggenheim Investments

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2024-11-07
NY RA APPROVED 2024-11-07
  • NJ RA
    APPROVED
    Since 2024-11-07
  • NY RA
    APPROVED
    Since 2024-11-07

Branch Locations

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

Garden City, NY • 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
First Trust Portfolios L.P. Wheaton IL 04/2007 10/2016
Hennion & Walsh, Inc. Parsippany NJ 10/2016 02/2023
Advisors Asset Management, Inc Monument CO 02/2023 08/2024
Guggenheim Funds Distributors, Llc Chicago IL 11/2024 Present
Guggenheim Investments, Llc New York NY 11/2024 Present
  • 04/2007 → 10/2016
    First Trust Portfolios L.P.
    Wheaton, IL
  • 10/2016 → 02/2023
    Hennion & Walsh, Inc.
    Parsippany, NJ
  • 02/2023 → 08/2024
    Advisors Asset Management, Inc
    Monument, CO
  • 11/2024 → Present
    Guggenheim Funds Distributors, Llc
    Chicago, IL
  • 11/2024 → Present
    Guggenheim Investments, Llc
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-12-23
S63 Uniform Securities Agent State Law Examination 1986-01-16
  • S66 Uniform Combined State Law Examination
    2008-12-23
  • S63 Uniform Securities Agent State Law Examination
    1986-01-16
Other Names
  • Richard G Jaeger
  • Rich Jaeger
  • Richard George Jaeger

View on SEC IAPD

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ISLET MANAGEMENT, LP · NEW YORK, NY
P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
COMPASS GROUP LLC · NEW YORK, NY
CRESTVIEW PARTNERS · NEW YORK, NY
LEEDS EQUITY PARTNERS · NEW YORK, NY

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