Guggenheim Investor Services, LLC

Broker-DealerFINRA MemberEst. 1992
Total AUM
Advisory reps
14
Avg account
$0

Firm details

Headquarters
New York, New York
CRD number
30096
Registered since
July 21, 1992

Firm profile

FINTRX

Overview

Guggenheim Investor Services, LLC is a limited liability company that has been registered with the SEC since 1992. FINTRX classifies the firm as an investment bank rather than a traditional registered investment adviser or capital allocator. Ownership is listed as a combination of a domestic entity and individual ownership. The firm does not identify itself as an active ESG investor, is not designated as a multi-state adviser, and is not described as a pension consulting or related-adviser entity. Public-facing detail on specific business lines, fee structures, client segments, and advisory activities was not provided in the source data.

Assets & Accounts

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 3
  • Robert Saperstein

    Robert Saperstein

    Chief Compliance OfficerCRD 2567876

  • Ying Chan

    Chief Financial OfficerCRD 4956885

  • Kerri Cain

    Kerri Cain

    Chief Compliance OfficerCRD 2920203

Contacts

3 of 11
  • Michael Noonan

    Michael Noonan

    Managing DirectorCRD 5445711

  • Malcolm Douglas

    Malcolm Douglas

    Vice PresidentCRD 8196234

  • Melissa Jagdharry

    Senior AssociateCRD 6613360

Unlock 8 more contacts

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

New York, NY

New York

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
New York
Address
330 Madison Ave
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth