Our Staff has compiled our research into a database of FINRA Broker Disclosures for Guggenheim Securities, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| William R Kimlingen | 1417322 | 7 | 03/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William R Kimlingen | 1417322 | 7 | 03/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William R Kimlingen | 1417322 | 7 | 03/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William R Kimlingen | 1417322 | 7 | 12/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Louis Ferrarese | 1872383 | 1 | 10/25/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |