CRD #40638 · FINRA BrokerCheck + SEC IAPD

Guggenheim Securities, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Guggenheim Securities, LLC ranks #677 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #73 of 868 on the same disclosure sort used on the state browse page. Guggenheim Securities, LLC carries 10 BrokerCheck disclosures across 19 branch offices - moderate load for a regional firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
19
branch offices
10
disclosures
#677 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 40638 Guggenheim Securities, LLC

Guggenheim Securities, LLC · Grade C · 10 disc · 0.53/office · Regional firm

  • CRD 40638
  • GRADE C
  • DISC 10
  • REG 10
  • ARB 0
  • CIV 0
  • BRANCH 19
  • PER-OFF 0.53
  • RANK #677 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Alexander Capital, L.P. (0.54 disc/office)

Alexander Capital, L.P.0.54Leerink Partners LLC0.55Smith, Moore & Co.0.56Guggenheim Securiti… (this)0.53
Disclosures per office among regional firm peers (lower is cleaner)

Guggenheim Securities, LLC ranks #677 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.53 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - 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

Branch offices

19 offices

FINRA: Large firm

Total disclosures

10 events

On FINRA BrokerCheck

Regulatory events

10 actions

100% of all disclosures

Disclosures per office

0.53 per office

10 ÷ 19 offices

Guggenheim Securities, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 44% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). This entry sits in this band. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 10
Arbitrations 0
Civil Events 0
Total 10

Counts for Guggenheim Securities, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 10 Arbitration 0 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
New York, NY
CRD Number
40638

Regulator-heavy mix

Guggenheim Securities, LLC in the heavier-disclosure third

Guggenheim Securities, LLC carries 10 BrokerCheck disclosures across 19 branch offices - a heavier-third raw book among graded firms (#677 of 20,055). Regulator-initiated events are 100% of the book (10 regulatory / 0 arbitration / 0 civil).

100% of Guggenheim Securities, LLC's 10 disclosures are regulator-initiated (10 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Guggenheim Securities, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 1.14× state average

Guggenheim Securities, LLC sits above the New York disclosure average

Guggenheim Securities, LLC reports 10 BrokerCheck disclosures, 1.14× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 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 New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Guggenheim Securities, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Guggenheim Securities, LLC ranks #677 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #73 of 868 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 C mean for Guggenheim Securities, LLC?
A grade of C reflects Guggenheim Securities, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 10 total disclosures across 19 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Guggenheim Securities, LLC have?
Guggenheim Securities, LLC has 10 total FINRA disclosures, including 10 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Guggenheim Securities, LLC?
Guggenheim Securities, LLC operates 19 branch offices and is classified by FINRA as a large firm, registered in NY (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 Securities, LLC's disciplinary record?
You can verify Guggenheim Securities, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 40638. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Guggenheim Securities, LLC's 10 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Guggenheim Securities, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Guggenheim Securities, LLC carries 10 disclosures across 19 branch offices (about 0.53 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Guggenheim Securities, LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Alexander Capital, L.P. (NJ) - 0.54 disclosures/office, nearest regional firm peer to Guggenheim Securities, LLC's 0.53
  • Leerink Partners LLC (MA) - 0.55 disclosures/office, nearest regional firm peer to Guggenheim Securities, LLC's 0.53
  • Smith, Moore & Co. (MO) - 0.56 disclosures/office, nearest regional firm peer to Guggenheim Securities, LLC's 0.53
  • Firms in NY - state roster that includes Guggenheim Securities, LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade C firm like Guggenheim Securities, LLC.
  • Reading BrokerCheck Reports - How Guggenheim Securities, LLC's 0.53 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Guggenheim Securities, LLC.
  • Compare firms - put Guggenheim Securities, LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.