Guggenheim Investor Services, LLC
Firm details
- Headquarters
- New York, New York
- CRD number
- 30096
- Registered since
- July 21, 1992
Firm profile
FINTRXOverview
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
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Owners & executives
3 of 3
Robert Saperstein
Chief Compliance OfficerCRD 2567876
Ying Chan
Chief Financial OfficerCRD 4956885

Kerri Cain
Chief Compliance OfficerCRD 2920203
Contacts
3 of 11Michael Noonan
Managing DirectorCRD 5445711

Malcolm Douglas
Vice PresidentCRD 8196234
Melissa Jagdharry
Senior AssociateCRD 6613360
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXLocation
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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