Geri Herro

Guggenheim Investments

11 Years of Experience

Broker

View SEC Summary

Guggenheim Investments

Compensation

Fee-Only (AUM)

Firm Size

39 advisors

Number of Clients

113 clients

Average Client Portfolio

$65.4M average

Assets Under Management

$7.4B

Location

330 Madison Avenue, 10th Floor, New York, NY, 10017

Get directions

History

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.

Employment History

Current Registrations

Guggenheim Funds Distributors, LLC

September 2015 - Present · 10 yrs 5 mos

Guggenheim Investments

September 2015 - Present · 10 yrs 5 mos

Guggenheim Funds Distributors, LLCBroker

September 2015 - Present · 10 yrs 5 mos

Previous Registrations

Merrill Lynch, Pierce, Fenner & Smith Incorporated

February 2014 - August 2015 · 1 yr 6 mos

Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker

January 2014 - August 2015 · 1 yr 7 mos

State Registrations53 states

AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY

AdvisorBrokerBoth

Exams

No exam information available for this advisor.