Usman Khan is a registered investment advisor at Guggenheim Investments, based in New York, NY, with 6 years of industry experience. Usman 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
Fee-Only (% of Portfolio)
Firm Size
39 advisors
IM Fee
Planning only
Assets Under Management
$7.4B
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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 Investments
May 2022 - Present · 4 yrs
Guggenheim Funds Distributors, LLCBroker
May 2022 - Present · 4 yrs
Previous Registrations
Mesirow Financial Investment Management, INC.
August 2020 - July 2021 · 11 mos
Mesirow Financial, INC.Broker
August 2020 - July 2021 · 11 mos
LPL Financial LLC
December 2018 - September 2020 · 1 yr 9 mos
LPL Financial LLCBroker
August 2018 - September 2020 · 2 yrs 1 mo
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.