Emma Oaks is a registered investment advisor at Guggenheim Investments, based in New York, NY, with 1 years of industry experience. Emma 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
December 2024 - Present · 1 yr 4 mos
Guggenheim Funds Distributors, LLCBroker
September 2024 - Present · 1 yr 7 mos
State Registrations8 states
FLGAILINMINCSCWI
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.