RJ
RJ
Richard Jaeger
40 Years of Experience
New York, NY
Broker
Richard Jaeger is a registered investment advisor at Guggenheim Funds Distributors, LLC, based in New York, NY, with 40 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 1 clients with $6.9B in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
42 advisors
IM Fee
Planning only
Assets Under Management
$6.9B
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Location
330 Madison Avenue, 10th Floor, New York, NY, 10017
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Guggenheim Funds Distributors, LLCBroker
November 2024 - Present · 1 yr 6 mos
Guggenheim Investments
November 2024 - Present · 1 yr 6 mos
Guggenheim Funds Distributors, LLC
November 2024 - Present · 1 yr 6 mos
Previous Registrations
Advisors Asset Management, INC.
March 2023 - September 2024 · 1 yr 6 mos
Advisors Asset Management, INC.Broker
March 2023 - September 2024 · 1 yr 6 mos
Hennion & Walsh Asset Management, INC.
January 2017 - March 2023 · 6 yrs 2 mos
Hennion & Walsh, INC.Broker
October 2016 - March 2023 · 6 yrs 5 mos
First Trust Advisors LP
January 2009 - October 2016 · 7 yrs 9 mos
First Trust Portfolios L.P.Broker
April 2007 - October 2016 · 9 yrs 6 mos
Ryan Beck & CO.Broker
April 2002 - April 2007 · 5 yrs
Gruntal & CO., L.L.C.Broker
July 1992 - May 2002 · 9 yrs 10 mos
Nathan & Lewis Securities, INC.Broker
April 1988 - July 1992 · 4 yrs 3 mos
Moseley Securities CorporationBroker
September 1987 - February 1988 · 5 mos
Prudential-Bache Securities INC.Broker
October 1985 - October 1987 · 2 yrs
State Registrations3 states
CTNJNY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.