Guggenheim Securities, LLC

Overview

Guggenheim Securities, LLC is a Broker Dealer based in New York, NY, formed in 1999 in Delaware. Its 905 registered representatives work across 17 branch offices in 12 states.

Registered reps

905

Branch offices

17

Formed

1999

Jurisdictions

52

Contact

1 phone number on file

Practice

Products and services

• Alternative Investments
• Corporate Bonds
• Insurance
• Inter-Dealer Markers in Corporate Securities
• Interests in Mortgages or Other Receivables
• Limited Partnerships Primary Distributions
• Limited Partnerships Secondary Market
• Municipal Securities Broker
• Municipal Securities Dealer
• Non-Enchange Member Transactions
• Other
• Private Placements
• 7 more

Executive officers 3 of 7

• Mark Alan Van Lith Chief Executive Officer CRD 2263510
• Alan David Schwartz Co-Chairperson CRD 416184
• James E Millstein Co-Chairman CRD 4270577

4 more executive officers, with direct contact details

Registered reps 3 of 905

• Adam Juda Abergel Registered Rep CRD 7744596
• Michael Dean Abraham Registered Rep CRD 6514887
• Anthony Almon Abruzzo Registered Rep CRD 5795999

902 more registered reps, with emails, phones and branch locations

Location

Headquarters

330 Madison Ave
New York, NY 10017

County

New York

Metro area

New York-Newark-Jersey City, NY-NJ-PA

Region

Northeast

Branch offices

17 in 12 states, including Boston, MA, Chicago, IL and Charlotte, NC

Registrations

• FINRA member, limited liability company formed in Delaware
• Registered in 52 jurisdictions
• Website: guggenheimpartners.com/services/securities

Every state, with registration dates

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