EPlicensed - US FINRA/ SEC Record Search

Company Name:

GUGGENHEIM DISTRIBUTORS, LLC

CRD Number:

40805

Financial Regulator:

SEC/ FINRA

Registration started

Ended

1996

1997

1998

1999

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

2010

2011

2012

2013

2014

CDR: 2619820

DANIEL HORNBAKER

started on 1996-08-27

CDR: 2254181

MICHAEL BYRUM

started on 1996-06-04

CDR: 2560794

ZINA REINIKKA

ZINA MARIE BUTLER

started on 1997-03-18

CDR: 1912294

CARL RESNICK

started on 1998-09-24

CDR: 3227795

MICHAEL EPPERSON

MICHAEL R EPPERSON

started on 2000-09-07

CDR: 4153947

MIRIAM PEREZ

started on 2001-04-05

CDR: 4282038

Craig White

started on 2001-06-19

CDR: 4378749

RANDI SMITH

started on 2001-09-25

CDR: 1745533

KEVIN MCGOVERN

started on 2001-03-20

CDR: 1172268

SHERWOOD HARRIS

WOODY HARRIS

started on 2001-09-06

CDR: 3251396

CHRISTOPHER TAFFE

started on 2001-02-22

CDR: 4381813

ELISABETH MILLER

BETH ANN MILLER

started on 2002-06-26

CDR: 2341641

PETER SLOAN

started on 2002-11-15

CDR: 4430109

KARLA HAYES

KARLA LYNN HAYES KARLA LYNN SIELING

started on 2002-08-07

CDR: 4145475

NIKOLAOS BONOS

started on 2003-05-30

CDR: 4070969

THOMAS MATTEINI

THOMAS MICHAEL HARRINGTON THOMAAS MICHAEL MATTEINI

started on 2003-02-12

CDR: 2834378

Steven Mendo

started on 2006-04-20

CDR: 2736173

TERENCE BARNETT

started on 2006-01-26

CDR: 3094764

RICHARD TOOLE

started on 2006-11-09

CDR: 4385867

LARRY SHANK

started on 2006-07-19

CDR: 4509041

KRISTINE WARNER

KRISTINE MARIE KOSITZKI KRISTINE KOSITZKI

started on 2006-04-19

CDR: 5054577

ALLISON TULLY

ALLISON ELIZABETH ICIEK

started on 2006-10-09

CDR: 4277331

TODD MUENTZER

TODD P MUENTZER

started on 2007-01-08

CDR: 4749650

SCOTT GRIFFING

started on 2007-11-08

CDR: 4238029

MICHAEL SCALZI

started on 2007-07-17

CDR: 5191545

BRENDAN CAIN

started on 2007-03-05

CDR: 4806723

GARRETT BROOKES

started on 2007-02-22

CDR: 4888899

DENNIS METZGER

started on 2007-09-21

CDR: 4414317

STEPHEN DIGIOVINE

STEVE JOSEPH DIGIOVINE

started on 2008-07-31

CDR: 5459117

HUGH MCGREGOR

HUGH JAMES MCGREGOR JR. HUGH JAMES MCGREGOR JAMIE MCGREGOR

started on 2008-06-18

CDR: 2792588

DAVID AHERN

started on 2008-09-18

CDR: 5095022

MOHNA SHAH

started on 2008-10-22

CDR: 5348701

JOSHUA MARINO

started on 2008-04-18

CDR: 5405982

MATTHEW MARTINO

started on 2008-09-11

CDR: 5053781

REBECCA BOWLER

started on 2008-06-25

CDR: 5249876

TAMARA SCRIVENS

TAMARA NICOLE PALMER TAMARA PALMER TAMARA NICOLE WATKINS

started on 2008-11-14

CDR: 4966779

CHRISTOPHER COSANTINO

started on 2008-06-30

CDR: 4351280

GREGORY COHEN

GREG CHARLES COHEN GREGORY C COHEN

started on 2008-10-10

CDR: 4855061

MATTHEW CHEN

started on 2008-09-04

CDR: 4646802

RYAN WINRICK

RYAN E. WINRICK

started on 2009-10-16

CDR: 2538460

FRANKLIN WHITSELL

FRANK IRWIN WHITSELL JR

started on 2009-10-16

CDR: 2374071

FREDERICK HABECK

FRED HABECK

started on 2009-08-17

CDR: 2608305

JOHN FLAVIN

JOHN D FLAVIN

started on 2009-10-23

CDR: 5335764

MERIKO SARMIENTO

started on 2009-09-28

CDR: 2375132

DANIEL WOESTENDICK

DAN WOESTENDICK DANIEL B WOESTENDICK

started on 2009-10-16

CDR: 856716

ALLEN WILLIAMSON

started on 2009-06-05

CDR: 4364830

KRISTI DAVENPORT

KRISTI DAWN WAMSER

started on 2009-10-16

CDR: 2720290

AMY DAMMAN

AMY LEIGH HERRS

started on 2009-10-16

CDR: 4048241

ISAAC BOYD

ISAAC D BOYD

started on 2009-10-16

CDR: 4231961

KEVIN FARRAGHER

started on 2010-09-21

CDR: 5212756

McLean Funk

MAC H FUNK MCLEAN H FUNK

started on 2010-12-10

CDR: 4251894

HEIKO EBENS

started on 2010-10-06

CDR: 3089091

JEANEEN TERRIO

JEANEEN MICHELLE PISARRA JEANEEN M TERRIO

started on 2010-12-13

CDR: 4904222

KEENAN CARSTENS

KEENAN OSCAR CARSTENS JR. KEENAN CARSTENS

started on 2010-03-04

CDR: 4658991

REBECCA BENNETT

BECKY BENNETT

started on 2010-11-19

CDR: 4949669

MARGAUX MISANTONE

MARGAUX MARIE MASSIE

started on 2010-04-08

CDR: 5176788

DIMITRIOS LOUPAKOS

DIMITRI G LOUPAKOS DIMITRI LOUPAKOS

started on 2010-08-12

CDR: 5572646

PETER BOXX

started on 2010-09-01

CDR: 5567647

NICHOLAS ORSI

NICHOLAS ORSI NICK D ORSI

started on 2010-11-11

CDR: 4329082

George Andrews

GEORGE W ANDREWS III GEORGE WILLIAM ANDREWS III George William Andrews

started on 2010-09-20

CDR: 4826447

MATTHEW SCHREF

MATTHEW CARL SCHREF

started on 2010-04-08

CDR: 4800120

FRANK TRISLER

FRANK TRISLER STEWART TRISLER

started on 2010-07-09

CDR: 4611079

PETER PASHO

PETER ANDREW PASHO

started on 2011-02-03

CDR: 2418823

JON LAWSON

started on 2011-10-03

CDR: 2059337

MARK BURNS

Mark S Burns Mark Steven Burns

started on 2011-04-04

CDR: 2089817

MATTHEW WHITE

started on 2011-05-11

CDR: 4476399

COLLEEN YEE

COLLEEN IGNACIO COLLEEN IGNACIO

started on 2011-07-07

CDR: 5508221

Michael Silverman

MICHAEL J SILVERMAN

started on 2011-03-23

CDR: 5001643

LISA ROBINSON SMITH

LISA CARLETTE ROBINSON

started on 2011-02-01

CDR: 4554262

Douglas Gowski

DOUGLAS PAUL GOWSKI Dougalas Gowski

started on 2011-01-19

CDR: 1722233

LYNN BRAUTIGAN

Lynn M Brautigan

started on 2011-05-31

CDR: 5108411

DANIEL CHEESEMAN

started on 2011-12-14

CDR: 5179296

RYAN SHEDD

RYAN W SHEDD

started on 2011-02-23

CDR: 1586659

DONAL MASTRANGELO

DONAL C F MASTRANGELO

started on 2011-09-22

CDR: 5791254

TIMUR CLARKE

TIM CLARKE

started on 2011-07-01

CDR: 1261056

LYNNE MOSIER

LYNNE DENISE GRAVEL LYNNE DENISE GRAVELLE LYNNE GRAVELLE - MOSIER LYNNE GRAVELLE-MOSIER LYNNE DENISE MOSIER

started on 2011-02-02

CDR: 5795012

JACOB SCHULTZ

JACOB C SCHULTZ

started on 2011-06-02

CDR: 4718285

BRYAN STIGER

started on 2011-05-31

CDR: 4818480

PETER KEARNEY

started on 2011-02-11

CDR: 4481236

JAMES RENSMAN

JIM ROBERT RENSMAN

started on 2011-05-27

CDR: 5823716

CHRISTOPHER OBRIEN

CHRIS O'BRIEN CHRISTOPHER MICHAEL O'BRIEN CHRISTOPHER O'BRIEN

started on 2011-07-08

CDR: 4434614

CASEY SLETTEN

started on 2011-04-29

CDR: 5791278

MICHAEL POVEMBA

MIKE HENRY POVEMBA

started on 2011-01-10

CDR: 5212910

JULIE JACQUES

JULIE ANN HUFFMAN

started on 2012-02-29

CDR: 5476130

CHARLES KEPPLER

CHIP KEPPLER EDWARD CHARLES KEPPLER

started on 2012-06-09

CDR: 2410528

CHRISTOPHER PARISI

started on 2012-01-31

CDR: 2680498

NICOLE DEL ROSARIO

NICOLE MARGO DELROSARIO NICOLE MARGO HORELICK

started on 2012-12-21

CDR: 1693322

William Belden

BILL BELDEN III WILLIAM AINCHLIFFE BELDEN III WILLIAM HINCHLIFFE BELDEN III William Belden

started on 2012-04-11

CDR: 6038712

HANSEN WILLIAMS

Hans Williams

started on 2012-04-12

CDR: 1057199

MARK RAYFORD

started on 2012-02-20

CDR: 2259707

JONATHAN BORING

started on 2012-03-21

CDR: 4436521

CHRISTOPHER CLEGG

started on 2012-10-02

CDR: 2762297

AMY SULLIVAN

AMY L DOCKWEILER AMY LYNN DOCKWEILER

started on 2012-10-02

CDR: 4159996

ROBIN TARDY

ROBIN LISA TARDY ROBIN LISA WESTROM

started on 2012-10-02

CDR: 5116381

GLENN NAGAO

GLENN A NAGAO

started on 2012-08-30

CDR: 4182194

KEVIN FRASER

started on 2012-07-02

CDR: 2208404

ROBERT COYNE

ROB COYNE

started on 2012-01-31

CDR: 1414476

DOUGLAS MANGINI

DOUGLAS C MANGINI

started on 2012-05-03

CDR: 5595253

MONICA BIENIEWSKI

started on 2012-06-21

CDR: 1416591

Jeff Worf

JEFF ALLEN WORF JEFFREY ALLEN WORF

started on 2013-06-27

CDR: 4250692

GABRIEL GAVILANES

started on 2013-05-07

CDR: 2802331

SUSAN PITTNER

SUSAN M PITTNER

started on 2013-01-23

CDR: 2472902

KENNETH TOLLMANN

KEN HOWARD TOLLMAN KEN HOWARD TOLLMANN JR KEN HOWARD TOLLMANN KENNETH HOWARD TOLLMANN

started on 2013-01-04

CDR: 1396644

DONALD CACCIAPAGLIA

started on 2013-04-24

CDR: 5568579

EMILY PROVOST

EMILY SMITH

started on 2013-01-23

CDR: 4558510

BRYAN STONE

started on 2013-08-01

CDR: 5004300

ERIK OLSON

started on 2013-09-05

CDR: 4194982

STEVEN STACK

started on 2013-06-18

CDR: 4785958

STEVEN SCHLOW

STEVEN ERIC SCHLOW MR. STEVEN SCHLOW

started on 2013-01-04

CDR: 4611079

PETER PASHO

PETER ANDREW PASHO

ended on 2013-08-14

CDR: 2089817

MATTHEW WHITE

ended on 2013-05-07

CDR: 4251894

HEIKO EBENS

ended on 2013-03-26

CDR: 5405982

MATTHEW MARTINO

ended on 2013-11-20

CDR: 5508221

Michael Silverman

MICHAEL J SILVERMAN

ended on 2013-02-14

CDR: 4554262

Douglas Gowski

DOUGLAS PAUL GOWSKI Dougalas Gowski

ended on 2013-03-06

CDR: 4904222

KEENAN CARSTENS

KEENAN OSCAR CARSTENS JR. KEENAN CARSTENS

ended on 2013-06-04

CDR: 5179296

RYAN SHEDD

RYAN W SHEDD

ended on 2013-04-02

CDR: 4818480

PETER KEARNEY

ended on 2013-01-23

CDR: 5823716

CHRISTOPHER OBRIEN

CHRIS O'BRIEN CHRISTOPHER MICHAEL O'BRIEN CHRISTOPHER O'BRIEN

ended on 2013-02-05

CDR: 5791278

MICHAEL POVEMBA

MIKE HENRY POVEMBA

ended on 2013-05-07

CDR: 4430109

KARLA HAYES

KARLA LYNN HAYES KARLA LYNN SIELING

ended on 2013-08-14

CDR: 5054577

ALLISON TULLY

ALLISON ELIZABETH ICIEK

ended on 2013-10-31

CDR: 5212910

JULIE JACQUES

JULIE ANN HUFFMAN

ended on 2014-03-03

CDR: 1416591

Jeff Worf

JEFF ALLEN WORF JEFFREY ALLEN WORF

ended on 2014-03-03

CDR: 4277331

TODD MUENTZER

TODD P MUENTZER

ended on 2014-03-03

CDR: 2834378

Steven Mendo

ended on 2014-03-03

CDR: 4414317

STEPHEN DIGIOVINE

STEVE JOSEPH DIGIOVINE

ended on 2014-03-03

CDR: 4749650

SCOTT GRIFFING

ended on 2014-03-03

CDR: 4381813

ELISABETH MILLER

BETH ANN MILLER

ended on 2014-03-03

CDR: 4250692

GABRIEL GAVILANES

ended on 2014-03-03

CDR: 5459117

HUGH MCGREGOR

HUGH JAMES MCGREGOR JR. HUGH JAMES MCGREGOR JAMIE MCGREGOR

ended on 2014-03-03

CDR: 2792588

DAVID AHERN

ended on 2014-03-03

CDR: 5095022

MOHNA SHAH

ended on 2014-03-03

CDR: 5476130

CHARLES KEPPLER

CHIP KEPPLER EDWARD CHARLES KEPPLER

ended on 2014-03-03

CDR: 2410528

CHRISTOPHER PARISI

ended on 2014-03-03

CDR: 4231961

KEVIN FARRAGHER

ended on 2014-03-03

CDR: 2680498

NICOLE DEL ROSARIO

NICOLE MARGO DELROSARIO NICOLE MARGO HORELICK

ended on 2014-03-03

CDR: 2418823

JON LAWSON

ended on 2014-03-03

CDR: 5348701

JOSHUA MARINO

ended on 2014-03-03

CDR: 5212756

McLean Funk

MAC H FUNK MCLEAN H FUNK

ended on 2014-03-03

CDR: 1693322

William Belden

BILL BELDEN III WILLIAM AINCHLIFFE BELDEN III WILLIAM HINCHLIFFE BELDEN III William Belden

ended on 2014-03-03

CDR: 2059337

MARK BURNS

Mark S Burns Mark Steven Burns

ended on 2014-03-03

CDR: 6038712

HANSEN WILLIAMS

Hans Williams

ended on 2014-03-03

CDR: 4476399

COLLEEN YEE

COLLEEN IGNACIO COLLEEN IGNACIO

ended on 2014-03-03

CDR: 2802331

SUSAN PITTNER

SUSAN M PITTNER

ended on 2014-03-03

CDR: 4238029

MICHAEL SCALZI

ended on 2014-03-03

CDR: 1912294

CARL RESNICK

ended on 2014-03-03

CDR: 5191545

BRENDAN CAIN

ended on 2014-03-03

CDR: 1057199

MARK RAYFORD

ended on 2014-03-03

CDR: 3089091

JEANEEN TERRIO

JEANEEN MICHELLE PISARRA JEANEEN M TERRIO

ended on 2014-03-03

CDR: 5053781

REBECCA BOWLER

ended on 2014-03-03

CDR: 5001643

LISA ROBINSON SMITH

LISA CARLETTE ROBINSON

ended on 2014-03-03

CDR: 4153947

MIRIAM PEREZ

ended on 2014-03-03

CDR: 4646802

RYAN WINRICK

RYAN E. WINRICK

ended on 2014-03-03

CDR: 2538460

FRANKLIN WHITSELL

FRANK IRWIN WHITSELL JR

ended on 2014-03-03

CDR: 2472902

KENNETH TOLLMANN

KEN HOWARD TOLLMAN KEN HOWARD TOLLMANN JR KEN HOWARD TOLLMANN KENNETH HOWARD TOLLMANN

ended on 2014-03-03

CDR: 5249876

TAMARA SCRIVENS

TAMARA NICOLE PALMER TAMARA PALMER TAMARA NICOLE WATKINS

ended on 2014-03-03

CDR: 4806723

GARRETT BROOKES

ended on 2014-02-11

CDR: 1722233

LYNN BRAUTIGAN

Lynn M Brautigan

ended on 2014-03-03

CDR: 1396644

DONALD CACCIAPAGLIA

ended on 2014-03-03

CDR: 5568579

EMILY PROVOST

EMILY SMITH

ended on 2014-03-03

CDR: 5108411

DANIEL CHEESEMAN

ended on 2014-03-03

CDR: 2259707

JONATHAN BORING

ended on 2014-03-03

CDR: 4558510

BRYAN STONE

ended on 2014-03-03

CDR: 3227795

MICHAEL EPPERSON

MICHAEL R EPPERSON

ended on 2014-03-03

CDR: 2341641

PETER SLOAN

ended on 2014-03-03

CDR: 1586659

DONAL MASTRANGELO

DONAL C F MASTRANGELO

ended on 2014-03-03

CDR: 4282038

Craig White

ended on 2014-03-03

CDR: 2374071

FREDERICK HABECK

FRED HABECK

ended on 2014-03-03

CDR: 4436521

CHRISTOPHER CLEGG

ended on 2014-03-03

CDR: 5791254

TIMUR CLARKE

TIM CLARKE

ended on 2014-03-03

CDR: 1261056

LYNNE MOSIER

LYNNE DENISE GRAVEL LYNNE DENISE GRAVELLE LYNNE GRAVELLE - MOSIER LYNNE GRAVELLE-MOSIER LYNNE DENISE MOSIER

ended on 2014-03-03

CDR: 4658991

REBECCA BENNETT

BECKY BENNETT

ended on 2014-03-03

CDR: 2608305

JOHN FLAVIN

JOHN D FLAVIN

ended on 2014-03-03

CDR: 2736173

TERENCE BARNETT

ended on 2014-03-03

CDR: 4145475

NIKOLAOS BONOS

ended on 2014-03-03

CDR: 5795012

JACOB SCHULTZ

JACOB C SCHULTZ

ended on 2014-03-03

CDR: 2762297

AMY SULLIVAN

AMY L DOCKWEILER AMY LYNN DOCKWEILER

ended on 2014-03-03

CDR: 3094764

RICHARD TOOLE

ended on 2014-03-03

CDR: 4718285

BRYAN STIGER

ended on 2014-03-03

CDR: 5335764

MERIKO SARMIENTO

ended on 2014-03-03

CDR: 4378749

RANDI SMITH

ended on 2014-03-03

CDR: 4385867

LARRY SHANK

ended on 2014-03-03

CDR: 4949669

MARGAUX MISANTONE

MARGAUX MARIE MASSIE

ended on 2014-03-03

CDR: 4070969

THOMAS MATTEINI

THOMAS MICHAEL HARRINGTON THOMAAS MICHAEL MATTEINI

ended on 2014-03-03

CDR: 1745533

KEVIN MCGOVERN

ended on 2014-03-03

CDR: 4481236

JAMES RENSMAN

JIM ROBERT RENSMAN

ended on 2014-03-03

CDR: 5004300

ERIK OLSON

ended on 2014-03-03

CDR: 5176788

DIMITRIOS LOUPAKOS

DIMITRI G LOUPAKOS DIMITRI LOUPAKOS

ended on 2014-03-03

CDR: 4159996

ROBIN TARDY

ROBIN LISA TARDY ROBIN LISA WESTROM

ended on 2014-03-03

CDR: 5572646

PETER BOXX

ended on 2014-03-03

CDR: 4509041

KRISTINE WARNER

KRISTINE MARIE KOSITZKI KRISTINE KOSITZKI

ended on 2014-03-03

CDR: 2619820

DANIEL HORNBAKER

ended on 2014-03-03

CDR: 4434614

CASEY SLETTEN

ended on 2014-03-03

CDR: 4966779

CHRISTOPHER COSANTINO

ended on 2014-03-03

CDR: 5567647

NICHOLAS ORSI

NICHOLAS ORSI NICK D ORSI

ended on 2014-03-03

CDR: 5116381

GLENN NAGAO

GLENN A NAGAO

ended on 2014-03-03

CDR: 4194982

STEVEN STACK

ended on 2014-03-03

CDR: 4351280

GREGORY COHEN

GREG CHARLES COHEN GREGORY C COHEN

ended on 2014-03-03

CDR: 2375132

DANIEL WOESTENDICK

DAN WOESTENDICK DANIEL B WOESTENDICK

ended on 2014-03-03

CDR: 4329082

George Andrews

GEORGE W ANDREWS III GEORGE WILLIAM ANDREWS III George William Andrews

ended on 2014-03-03

CDR: 1172268

SHERWOOD HARRIS

WOODY HARRIS

ended on 2014-01-28

CDR: 856716

ALLEN WILLIAMSON

ended on 2014-03-03

CDR: 4364830

KRISTI DAVENPORT

KRISTI DAWN WAMSER

ended on 2014-03-03

CDR: 2720290

AMY DAMMAN

AMY LEIGH HERRS

ended on 2014-03-03

CDR: 4785958

STEVEN SCHLOW

STEVEN ERIC SCHLOW MR. STEVEN SCHLOW

ended on 2014-03-03

CDR: 3251396

CHRISTOPHER TAFFE

ended on 2014-03-03

CDR: 2560794

ZINA REINIKKA

ZINA MARIE BUTLER

ended on 2014-03-03

CDR: 4182194

KEVIN FRASER

ended on 2014-03-03

CDR: 4826447

MATTHEW SCHREF

MATTHEW CARL SCHREF

ended on 2014-03-03

CDR: 2254181

MICHAEL BYRUM

ended on 2014-03-03

CDR: 2208404

ROBERT COYNE

ROB COYNE

ended on 2014-03-03

CDR: 4048241

ISAAC BOYD

ISAAC D BOYD

ended on 2014-03-03

CDR: 4800120

FRANK TRISLER

FRANK TRISLER STEWART TRISLER

ended on 2014-03-03

CDR: 4855061

MATTHEW CHEN

ended on 2014-03-03

CDR: 1414476

DOUGLAS MANGINI

DOUGLAS C MANGINI

ended on 2014-03-03

CDR: 4888899

DENNIS METZGER

ended on 2014-03-03

CDR: 5595253

MONICA BIENIEWSKI

ended on 2014-03-03

Court Diary