GUGGENHEIM INVESTMENTS
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GUGGENHEIM INVESTMENTS
(CRD# 105477)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Nov 1971.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$9.3 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 INVESTMENTS
also reported in
Mar 2019
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46
employees,
with
34
performing advisory functions.
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A total of 7 office locations.
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No registrations with foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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GUGGENHEIM INVESTMENTS has one or more disclosure events currently on file with the SEC.
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GUGGENHEIM INVESTMENTS has Notice Filings with the following State Securities Authorities: AK-Oct 2006, AL-Nov 2006, AR-Oct 2006, AZ-Oct 2006, CA-Oct 20
, CO-Oct 2006, CT-Oct 2006, DC-Oct 2006, DE-Oct 2006, FL-Oct 2
, GA-Oct 2006, HI-Oct 2006, IA-Oct 2006, ID-Oct 2006, IL-Oct 2
, IN-Oct 2006, KS-Jul 1979, KY-Oct 2006, LA-Oct 2006, MA-Oct 2
, MD-Oct 2006, ME-Oct 2006, MI-Oct 2006, MN-Oct 2006, MO-Oct 2
, MS-Oct 2006, MT-Oct 2006, NC-Oct 2006, ND-Oct 2006, NE-Oct 2
, NH-Oct 2006, NJ-Dec 2006, NM-Dec 2006, NV-Oct 2006, NY-Dec 2
, OH-Oct 2006, OK-Oct 2006, OR-Oct 2006, PA-Oct 2006, PR-Dec 2
, RI-Oct 2006, SC-Oct 2006, SD-Oct 2006, TN-Oct 2006, TX-Dec 2
, UT-Oct 2006, VA-Oct 2006, VI-May 2008, VT-Oct 2006, WA-Oct 2
, WI-Oct 2006, WV-Oct 2006, WY-Nov 2017
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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