Steven Guggenheimer
Steven Guggenheimer is a registered investment advisor at Janney Montgomery Scott LLC, based in New York, NY, with 38 years of industry experience. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 239,256 clients with $100B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Janney charges a fee based on a percentage of the assets managed in your account. This fee covers investment management, trading, custody, and performance reporting. Fees are negotiable and may vary based on the size of your account and the services provided. Janney may also offer investment advisory services on a non-wrap basis, where you pay separately for transactions and custody.
Location
1166 Avenue of the Americas, 21st Floor, New York, NY, 10036
Get directionsHistory
Regulatory History (3)
Regulatory
August 2014Employment Separation After Allegations
October 2012Customer Dispute
December 1998Other Business Activities
Steven is the president of Century Country Club, where he presides over meetings, oversees hiring, and handles club business. This activity is not compensated and requires minimal time each month.
Employment History
Current Registrations
Janney Montgomery Scott LLCBroker
Janney Montgomery Scott LLC
Previous Registrations
Barclays Capital INC.
Barclays Capital INC.Broker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Neuberger Berman LLC
Neuberger Berman LLCBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations48 states
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.