Company Name:
GUGGENHEIM INVESTMENT ADVISORS, LLC
Address:
11TH FLOOR, 330 MADISON AVENUE, NEW YORK NY 10017
CRD Number:
108263
SEC Number:
801-57781
Financial Regulator:
SEC/ FINRA
Website:
http://www.guggenheimpartners.com
Registration started
Ended
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
2014
2015
2016
2017
2018
CDR: 2504733
JOSE REMY
JOSE REMY
started on 2003-11-07
CDR: 4448486
GERHARD HERRERA-PAHL
GERHARD HERRERA
started on 2004-04-20
CDR: 4659462
RICARDO DE LA SERNA
RICARDO DE LA SERNA
started on 2004-04-14
CDR: 4659484
MARTIN GUYOT
started on 2004-04-20
CDR: 2725885
CARLOS HOLLANDER
CARLOS HOLLANDER PONTES CARLOS HOLLANDER LOPES PONTES CARLOS PONTES
started on 2004-11-29
CDR: 4853682
ARTURO LASK
started on 2004-11-18
CDR: 2048092
JUAN BALL
started on 2004-11-18
CDR: 1800827
RAUL SANCHEZ-ELIA
RAUL FRANCISCO SANCHEZELIA
started on 2005-03-17
CDR: 2814634
IGNACIO PAKCIARZ
PAKCIARZ NACHO
started on 2005-01-31
CDR: 2664787
DINA DILORENZO
DINA DILORENZO
started on 2005-10-18
CDR: 734534
JUAN PINILLA
started on 2005-01-31
CDR: 2234144
EDMUND MOULTON
NED MOULTON
started on 2005-10-18
CDR: 734534
JUAN PINILLA
ended on 2005-10-11
CDR: 4554993
SAMUEL COVERT
SAMUEL WELLS COVERT III
started on 2006-07-13
CDR: 5024651
MARIA CURE
MARIA CRISTINA CARO
started on 2006-01-25
CDR: 2768636
CHARLES STUCKE
started on 2006-11-07
CDR: 4994283
Gretchen McLaughlin
GRETCHEN THERESE MCLAUGHLIN GRETCHEN MCLAUGHLIN GRETCHEN THERESE MURRAY
started on 2006-02-02
CDR: 4908956
ROBERT RAIOLA
started on 2006-12-13
CDR: 5024624
MICHAEL CARDONA
started on 2006-02-23
CDR: 4659484
MARTIN GUYOT
ended on 2006-05-31
CDR: 2725885
CARLOS HOLLANDER
CARLOS HOLLANDER PONTES CARLOS HOLLANDER LOPES PONTES CARLOS PONTES
ended on 2006-07-07
CDR: 4595707
ERIC FOULTZ
started on 2007-02-23
CDR: 4409186
KRISTINA AMATO
KRISTINA HUANG
started on 2007-11-15
CDR: 2458825
Philip Sharkey
II PHILIP HENRY SHARKEY PHILIP HENRY SHARKEY II
started on 2007-11-21
CDR: 2192714
STEPHEN KITCHING
started on 2007-04-25
CDR: 2621346
ADAM REZAK
started on 2007-11-20
CDR: 4908962
BARRY KLARBERG
BARRY J. KLARBERG
started on 2007-04-25
CDR: 1712263
JENNIFER NILLES
JENNIFER J NILLES JENNIFER JEAN NILLES MS
started on 2007-08-07
CDR: 4994283
Gretchen McLaughlin
GRETCHEN THERESE MCLAUGHLIN GRETCHEN MCLAUGHLIN GRETCHEN THERESE MURRAY
ended on 2007-03-05
CDR: 2366723
LAUREN K HILL
started on 2008-05-05
CDR: 2911083
RAUL POMARES
RAUL POMARES
started on 2008-08-22
CDR: 2879378
WALTER REISINGER
BUDDY REISINGER JR
started on 2008-05-19
CDR: 2192714
STEPHEN KITCHING
ended on 2008-04-18
CDR: 2814634
IGNACIO PAKCIARZ
PAKCIARZ NACHO
ended on 2008-01-17
CDR: 4908956
ROBERT RAIOLA
ended on 2008-06-17
CDR: 4908962
BARRY KLARBERG
BARRY J. KLARBERG
ended on 2008-12-22
CDR: 4316715
Christopher Shin
CHRIS SHIN
started on 2009-11-23
CDR: 1043180
COURTLANDT AULT
COURT AULT
started on 2009-07-24
CDR: 3229243
Tanya Williams
TANYA PRICE TANYA D WILLIAMS TANYA DENISE WILLIAMS-PRICE
started on 2009-08-21
CDR: 4595707
ERIC FOULTZ
ended on 2009-09-01
CDR: 2879378
WALTER REISINGER
BUDDY REISINGER JR
ended on 2009-02-09
CDR: 2048092
JUAN BALL
ended on 2009-09-01
CDR: 5714469
Joseph McElligott
JOSEPH BERNARD MCELLIGOTT IV
started on 2010-06-21
CDR: 2911083
RAUL POMARES
RAUL POMARES
ended on 2010-06-04
CDR: 4409186
KRISTINA AMATO
KRISTINA HUANG
ended on 2010-01-22
CDR: 4448486
GERHARD HERRERA-PAHL
GERHARD HERRERA
ended on 2010-06-09
CDR: 4554993
SAMUEL COVERT
SAMUEL WELLS COVERT III
ended on 2010-06-09
CDR: 5024651
MARIA CURE
MARIA CRISTINA CARO
ended on 2010-06-09
CDR: 2458825
Philip Sharkey
II PHILIP HENRY SHARKEY PHILIP HENRY SHARKEY II
ended on 2010-11-01
CDR: 1800827
RAUL SANCHEZ-ELIA
RAUL FRANCISCO SANCHEZELIA
ended on 2010-08-03
CDR: 4659462
RICARDO DE LA SERNA
RICARDO DE LA SERNA
ended on 2010-06-09
CDR: 5024624
MICHAEL CARDONA
ended on 2010-06-09
CDR: 4853682
ARTURO LASK
ended on 2010-06-09
CDR: 2504733
JOSE REMY
JOSE REMY
ended on 2010-06-09
CDR: 1989641
PHILIP MORIARTY
PHILIP E MORIARTY II PHIPPS MORIARTY II
started on 2011-06-09
CDR: 5449369
MICHAEL ANDERSEN
MICHAEL PAUL ANDERSEN Michael Andersen
started on 2011-08-04
CDR: 3012391
MICHELLE AMATO
MICHELLE LEA MILLER
started on 2011-08-04
CDR: 2829177
LUKE COLLINS
started on 2011-06-23
CDR: 1043180
COURTLANDT AULT
COURT AULT
ended on 2011-05-13
CDR: 2234144
EDMUND MOULTON
NED MOULTON
ended on 2011-08-22
CDR: 2234367
TODD MILLMAN
started on 2012-10-03
CDR: 6009403
JEREMY LUSKIN
started on 2012-02-03
CDR: 2655670
ANASTASIA THERMOS
ANASTASIA MARIE NEITZEL STACEY THERMOS ANASTASIA MARIE Thermos
started on 2012-02-17
CDR: 1989641
PHILIP MORIARTY
PHILIP E MORIARTY II PHIPPS MORIARTY II
ended on 2012-10-12
CDR: 3012391
MICHELLE AMATO
MICHELLE LEA MILLER
ended on 2012-03-15
CDR: 2655670
ANASTASIA THERMOS
ANASTASIA MARIE NEITZEL STACEY THERMOS ANASTASIA MARIE Thermos
ended on 2012-03-15
CDR: 5786723
THERESA BILDT
THERESA BILDT THERESA MARIE NICHOLO
started on 2013-07-30
CDR: 2711371
EVONNE ARMENTA
started on 2013-12-16
CDR: 3229243
Tanya Williams
TANYA PRICE TANYA D WILLIAMS TANYA DENISE WILLIAMS-PRICE
ended on 2013-12-12
CDR: 6009403
JEREMY LUSKIN
ended on 2013-12-12
CDR: 2829177
LUKE COLLINS
ended on 2013-10-23
CDR: 2621346
ADAM REZAK
ended on 2013-12-12
CDR: 1712263
JENNIFER NILLES
JENNIFER J NILLES JENNIFER JEAN NILLES MS
ended on 2013-07-29
CDR: 5558728
Suzanne Stone
SUZANNE JANE STONE
started on 2014-09-17
CDR: 6330183
JEFFREY FULK
Jeffrey Fulk
started on 2014-05-19
CDR: 5786723
THERESA BILDT
THERESA BILDT THERESA MARIE NICHOLO
ended on 2014-09-29
CDR: 2366723
LAUREN K HILL
ended on 2015-08-21
CDR: 4316715
Christopher Shin
CHRIS SHIN
ended on 2015-08-19
CDR: 6330183
JEFFREY FULK
Jeffrey Fulk
ended on 2015-08-19
CDR: 5449369
MICHAEL ANDERSEN
MICHAEL PAUL ANDERSEN Michael Andersen
ended on 2015-06-01
CDR: 2768636
CHARLES STUCKE
ended on 2015-04-08
CDR: 2711371
EVONNE ARMENTA
ended on 2015-04-08
CDR: 2234367
TODD MILLMAN
ended on 2016-12-14
CDR: 5714469
Joseph McElligott
JOSEPH BERNARD MCELLIGOTT IV
ended on 2018-10-25



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