Branch offices
10 offices
FINRA: Small firm
CRD #39805 · FINRA BrokerCheck + SEC IAPD
Guggenheim Funds Distributors, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Guggenheim Funds Distributors, LLC ranks #11,174 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #146 of 200 on the same disclosure sort used on the state browse page. Guggenheim Funds Distributors, LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 10 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 10
- branch offices
- 0
- disclosures
- #11,174 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 39805 Guggenheim Funds Distributors, LLC
Guggenheim Funds Distributors, LLC · Grade A · 0 disc · 0.00/office · Regional firm
- CRD 39805
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 10
- PER-OFF 0.00
- RANK #11,174 of 20,055
- BOOK Regional firm
Intensity peers
Nearest same-size peer: ADP Broker-Dealer, Inc. (0.00 disc/office)
Guggenheim Funds Distributors, LLC ranks #11,174 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 10 offices
Clean disclosure surface
Guggenheim Funds Distributors, LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 10 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Chicago, IL
- CRD Number
- 39805
Clean BrokerCheck surface
Guggenheim Funds Distributors, LLC's clean BrokerCheck surface
Guggenheim Funds Distributors, LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 10 branch offices (Grade A).
Guggenheim Funds Distributors, LLC shows zero reportable disclosures across 10 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Guggenheim Funds Distributors, LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Illinois cohort · 0.00× state average
Guggenheim Funds Distributors, LLC sits below the Illinois disclosure average
Guggenheim Funds Distributors, LLC reports 0 BrokerCheck disclosures, 0.00× the Illinois average of 5.1, lighter than most of the 200 graded firms filed there.
In Illinois, 99 firms carry Grade A and 8 carry Grade F on the same size-normalized scale.
Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Illinois state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Guggenheim Funds Distributors, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Guggenheim Funds Distributors, LLC ranks #11,174 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #146 of 200 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of A mean for Guggenheim Funds Distributors, LLC?
A grade of A means Guggenheim Funds Distributors, LLC has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Guggenheim Funds Distributors, LLC have?
Guggenheim Funds Distributors, LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Guggenheim Funds Distributors, LLC?
Guggenheim Funds Distributors, LLC operates 10 branch offices and is classified by FINRA as a small firm, registered in IL (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Guggenheim Funds Distributors, LLC's disciplinary record?
You can verify Guggenheim Funds Distributors, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 39805. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's BrokerCheck record. Guggenheim Funds Distributors, LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Nationwide peers by disclosures or branches
Two PlainAdvisorCheck-derived peer sets for Guggenheim Funds Distributors, LLC, both outside IL so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar branch footprint
Nearest cross-state graded firms by branch-office count (10 here).
Read with this firm
- ADP Broker-Dealer, Inc. (NJ) - 0.00 disclosures/office, nearest regional firm peer to Guggenheim Funds Distributors, LLC's 0.00
- AE Financial Services, LLC (KS) - 0.00 disclosures/office, nearest regional firm peer to Guggenheim Funds Distributors, LLC's 0.00
- American Global Wealth Management, Inc. (GA) - 0.00 disclosures/office, nearest regional firm peer to Guggenheim Funds Distributors, LLC's 0.00
- Firms in IL - state roster that includes Guggenheim Funds Distributors, LLC's registration home.
- How to Vet a Financial Advisor - Use Guggenheim Funds Distributors, LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Guggenheim Funds Distributors, LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Guggenheim Funds Distributors, LLC.
- Compare firms - put Guggenheim Funds Distributors, LLC next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.