Company Name:
GUGGENHEIM CAPITAL MARKETS, LLC
CRD Number:
40638
Financial Regulator:
SEC/ FINRA
Registration started
Ended
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
CDR: 1802026
JONATHAN MORLEY
TODD MORELEY J TODD MORLEY
started on 1997-01-09
CDR: 1574042
Christopher Morley
CHRISTOPHER J MORLEY CHRISTOPHER JOHN MORLEY Christopher Morley
started on 1997-01-09
CDR: 2265868
THOMAS PRIORE
started on 2000-11-22
CDR: 2946077
EDWARD MURPHY
EDWARD DENNIS MURPHY TED MURPHY
started on 2002-04-26
CDR: 2773559
KEVIN FARLEY
started on 2002-04-03
CDR: 1190309
STEPHEN GREEN
STEVE GREEN
started on 2002-06-14
CDR: 3268880
MARIE STEWART
MARIE B STEWART MARIE BERNADETTE STEWART-LEWIS
started on 2003-02-24
CDR: 859959
DOUGLAS HERSCHELL
D GREGORY HERSCHELL D HERSCHELL
started on 2003-01-24
CDR: 1437092
STANLEY TOBIN
started on 2003-10-28
CDR: 1536589
DAVID OLSON
DAVID D OLSON
started on 2004-03-04
CDR: 1442454
JOAN HUDSON
JOAN ANASTASIOU JOAN ANASTASIOU HUDSON JOAN HUDSON
started on 2004-01-26
CDR: 449689
AUSTIN TROY
started on 2004-01-28
CDR: 2601560
BRENT LAYMAN
started on 2004-01-23
CDR: 4011066
MICHAEL ROMANOWSKI
MICHAEL ROMANOWSKI
started on 2004-05-06
CDR: 303779
PETER LAVERTY
started on 2004-01-28
CDR: 3135226
Ronak Khichadia
RONAK DHIRAJLAL KHICHADIA RONAK DHIVAJLAL KHICHADIA RONAK DHIVAJLAL PATEL RONAK PATEL
started on 2004-09-14
CDR: 1094031
CAMERON LOCHHEAD
started on 2004-02-02
CDR: 1218765
JAMES RIZZO
started on 2004-05-18
CDR: 2528138
COURTNEY BOMAN
COURTNEY DIANE RUDNICK
started on 2004-01-27
CDR: 3082343
Anand Ramachandran
started on 2004-01-28
CDR: 2693553
MICHAEL RYAN
started on 2004-01-27
CDR: 2635333
JORGE JONAS
JORGE A JONAS
started on 2004-10-05
CDR: 3091787
MATTHEW KENNEDY
started on 2004-10-05
CDR: 1159430
JOSEPH BENCIVENGA
started on 2004-01-28
CDR: 1509124
ROBERT CLARK
BOB CLARK
started on 2004-03-23
CDR: 729535
JAMES MACDOUGALL
Jim MacDougall
started on 2004-01-27
CDR: 216153
PETER GABLE
started on 2004-02-02
CDR: 4509090
ANDREW ROSENFIELD
started on 2004-03-04
CDR: 4089658
JULIE FRAUNDORF
started on 2004-03-04
CDR: 4742246
CARLOS MENDEZ
CARLOS MENDEZ
started on 2004-01-08
CDR: 1099776
NEAL THOMAS
started on 2004-01-28
CDR: 2474571
ERIC HUNTER
ERIC J HUNTER
started on 2004-01-28
CDR: 502533
MICHAEL GOODWIN
started on 2004-01-28
CDR: 1442454
JOAN HUDSON
JOAN ANASTASIOU JOAN ANASTASIOU HUDSON JOAN HUDSON
ended on 2004-07-21
CDR: 2601560
BRENT LAYMAN
ended on 2004-08-20
CDR: 303779
PETER LAVERTY
ended on 2004-09-10
CDR: 2265868
THOMAS PRIORE
ended on 2004-08-12
CDR: 3082343
Anand Ramachandran
ended on 2004-09-21
CDR: 1509124
ROBERT CLARK
BOB CLARK
ended on 2004-06-16
CDR: 2946077
EDWARD MURPHY
EDWARD DENNIS MURPHY TED MURPHY
ended on 2004-09-10
CDR: 2773559
KEVIN FARLEY
ended on 2004-08-25
CDR: 4742246
CARLOS MENDEZ
CARLOS MENDEZ
ended on 2004-08-19
CDR: 2474571
ERIC HUNTER
ERIC J HUNTER
ended on 2004-10-28
CDR: 1712263
JENNIFER NILLES
JENNIFER J NILLES JENNIFER JEAN NILLES MS
started on 2005-06-08
CDR: 4241163
JOSEPH MCGRATH
JOSEPH C MCGRATH JOSEPH MCGRATH
started on 2005-01-07
CDR: 3268880
MARIE STEWART
MARIE B STEWART MARIE BERNADETTE STEWART-LEWIS
ended on 2005-04-07
CDR: 1536589
DAVID OLSON
DAVID D OLSON
ended on 2005-04-25
CDR: 1094031
CAMERON LOCHHEAD
ended on 2005-08-16
CDR: 2635333
JORGE JONAS
JORGE A JONAS
ended on 2005-01-25
CDR: 1159430
JOSEPH BENCIVENGA
ended on 2005-05-02
CDR: 859959
DOUGLAS HERSCHELL
D GREGORY HERSCHELL D HERSCHELL
ended on 2005-05-02
CDR: 4509090
ANDREW ROSENFIELD
ended on 2005-04-25
CDR: 4089658
JULIE FRAUNDORF
ended on 2005-04-25
CDR: 1190309
STEPHEN GREEN
STEVE GREEN
ended on 2005-11-03
CDR: 1437092
STANLEY TOBIN
ended on 2005-02-08
CDR: 502533
MICHAEL GOODWIN
ended on 2005-03-31
CDR: 1411651
MICHAEL BRAY
MIKE BRAY
started on 2006-04-25
CDR: 5099825
JENSINE ANDRESEN
ANN JENSINE ANDRESEN JENSINE ANDRESEN BONCHEK
started on 2006-09-07
CDR: 1731174
SCOTT SIEMERS
started on 2006-05-24
CDR: 502533
MICHAEL GOODWIN
started on 2006-07-06
CDR: 3144308
MEL CHEZ
started on 2006-08-23
CDR: 1621960
ALAN HUNT
ALAN HUNT
started on 2006-08-10
CDR: 846233
KENNETH CASEY
KEN CASEY
started on 2006-06-01
CDR: 858395
MICHAEL CAPPA
MICHAEL A CAPPA
started on 2006-07-05
CDR: 3164064
MATTHEW ZUKOWSKY
CAPITAL BRENTON
started on 2006-06-20
CDR: 4598665
JOSCELYN READ
JOSCELYN CHARISMA TOSA JOSCELYN CHARISMA TOSTA JOSCELYN CHARISMA TOSTA-READ
started on 2006-05-16
CDR: 2383444
JEFFREY LANGE
JEFF LANGE JEFFREY LANGE
started on 2006-09-13
CDR: 2418297
BRADFORD DARBY
BRAD DARBY
started on 2006-07-24
CDR: 1712263
JENNIFER NILLES
JENNIFER J NILLES JENNIFER JEAN NILLES MS
ended on 2006-11-29
CDR: 449689
AUSTIN TROY
ended on 2006-01-18
CDR: 3144308
MEL CHEZ
ended on 2006-08-24
CDR: 4011066
MICHAEL ROMANOWSKI
MICHAEL ROMANOWSKI
ended on 2006-01-18
CDR: 1218765
JAMES RIZZO
ended on 2006-01-18
CDR: 2528138
COURTNEY BOMAN
COURTNEY DIANE RUDNICK
ended on 2006-01-18
CDR: 2693553
MICHAEL RYAN
ended on 2006-01-18
CDR: 3091787
MATTHEW KENNEDY
ended on 2006-01-18
CDR: 729535
JAMES MACDOUGALL
Jim MacDougall
ended on 2006-01-18
CDR: 216153
PETER GABLE
ended on 2006-01-18
CDR: 4598665
JOSCELYN READ
JOSCELYN CHARISMA TOSA JOSCELYN CHARISMA TOSTA JOSCELYN CHARISMA TOSTA-READ
ended on 2006-07-10
CDR: 4241163
JOSEPH MCGRATH
JOSEPH C MCGRATH JOSEPH MCGRATH
ended on 2006-01-18
CDR: 1099776
NEAL THOMAS
ended on 2006-01-18
CDR: 2593823
COLIN MARSHALL
started on 2007-01-10
CDR: 1217586
JYRKI SALMINEN
started on 2007-02-28
CDR: 2977705
KEITH GUDHUS
started on 2007-06-12
CDR: 5254962
JAMES JESTER
JAMES FRANCIS JESTER
started on 2007-07-31
CDR: 1725594
DOUGLAS FORD
DOUGLAS FORD
started on 2007-10-01
CDR: 361083
PHILIP PETERS
started on 2007-11-26
CDR: 1411651
MICHAEL BRAY
MIKE BRAY
ended on 2007-08-13
CDR: 5099825
JENSINE ANDRESEN
ANN JENSINE ANDRESEN JENSINE ANDRESEN BONCHEK
ended on 2007-09-14
CDR: 1574042
Christopher Morley
CHRISTOPHER J MORLEY CHRISTOPHER JOHN MORLEY Christopher Morley
ended on 2007-01-03
CDR: 3135226
Ronak Khichadia
RONAK DHIRAJLAL KHICHADIA RONAK DHIVAJLAL KHICHADIA RONAK DHIVAJLAL PATEL RONAK PATEL
ended on 2007-02-26
CDR: 2593823
COLIN MARSHALL
ended on 2008-04-28
CDR: 1731174
SCOTT SIEMERS
ended on 2008-09-03
CDR: 1621960
ALAN HUNT
ALAN HUNT
ended on 2008-10-02
CDR: 1217586
JYRKI SALMINEN
ended on 2008-09-16
CDR: 2977705
KEITH GUDHUS
ended on 2008-10-02
CDR: 846233
KENNETH CASEY
KEN CASEY
ended on 2008-10-02
CDR: 858395
MICHAEL CAPPA
MICHAEL A CAPPA
ended on 2008-10-02
CDR: 361083
PHILIP PETERS
ended on 2008-05-09
CDR: 2383444
JEFFREY LANGE
JEFF LANGE JEFFREY LANGE
ended on 2008-07-24
CDR: 2418297
BRADFORD DARBY
BRAD DARBY
ended on 2008-07-15
CDR: 3114962
PROCTOR ROBISON
started on 2009-01-27
CDR: 502533
MICHAEL GOODWIN
ended on 2009-01-05
CDR: 1802026
JONATHAN MORLEY
TODD MORELEY J TODD MORLEY
ended on 2009-06-19
CDR: 3114962
PROCTOR ROBISON
ended on 2009-05-05
CDR: 3164064
MATTHEW ZUKOWSKY
CAPITAL BRENTON
ended on 2009-04-03
CDR: 5254962
JAMES JESTER
JAMES FRANCIS JESTER
ended on 2009-07-23
CDR: 1725594
DOUGLAS FORD
DOUGLAS FORD
ended on 2009-07-15



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