Lee Personeni is a registered investment advisor at Guggenheim Investments, based in Saddle River, NJ, with 28 years of industry experience. Lee operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 113 clients with $7.4B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
Saddle River, NJ
Get directionsHistory
Regulatory History
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 →Other Business Activities
Lee owns a 20% stake in Surf Souliel, a swimsuit retailer, since 2020. Lee devotes minimal time to this non-investment related business.
Employment History
Current Registrations
Guggenheim Investments
Guggenheim Funds Distributors, LLCBroker
Guggenheim Funds Distributors, LLC
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Tower Square Securities, INC.Broker
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Prudential Securities IncorporatedBroker
State Registrations53 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.