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Daniel Jay Guggenheim

Morgan Stanley

Boca Raton, FL

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-04-23
FL RA APPROVED 2016-06-27
OH RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2020-04-23
  • FL RA
    APPROVED
    Since 2016-06-27
  • OH RA
    APPROVED
    Since 2009-06-01

Branch Locations

595 South Federal Highway Suite 400, Boca Raton, FL 33432 • 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
Morgan Stanley Smith Barney Boca Raton FL 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Boca Raton, FL
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-01-24
S63 Uniform Securities Agent State Law Examination 1986-10-14
  • S65 Uniform Investment Adviser Law Examination
    2002-01-24
  • S63 Uniform Securities Agent State Law Examination
    1986-10-14
Other Names
  • Dan Guggenheim

View on SEC IAPD

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Other Offices

SUN CAPITAL ADVISORS, L.P. · BOCA RATON, FL
AMERIPRISE FINANCIAL SERVICES, LLC · BOCA RATON, FL
HIGHTOWER ADVISORS, LLC · Boca Raton, FL
ISAM FUNDS (USA) LLC · BOCA RATON, FL
J.P. MORGAN SECURITIES LLC · Boca Raton, FL
FOCUS PARTNERS WEALTH, LLC · Boca Raton, FL
J.P. MORGAN SECURITIES LLC · Boca Raton, FL
FOCUS PARTNERS WEALTH, LLC · Boca Raton, FL

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