GUGGENHEIM FUNDS DISTRIBUTORS, LLC
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GUGGENHEIM FUNDS DISTRIBUTORS, LLC
(CRD# 39805)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Chicago, IL.
The SEC approved the firm to operate as an RIA in
Aug 1997.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$4.7 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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GUGGENHEIM FUNDS DISTRIBUTORS, LLC
also reported in
Mar 2019
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300
employees,
with
8
performing advisory functions.
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A total of 3 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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GUGGENHEIM FUNDS DISTRIBUTORS, LLC has no disclosure events reported to the SEC at this time.
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GUGGENHEIM FUNDS DISTRIBUTORS, LLC has Notice Filings with the following State Securities Authorities:
CA-Mar 2015, IL-Oct 2002, NY-Mar 2015
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