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Alex Juanito Lopez

Guggenheim Funds Distributors, LLC

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About Alex Juanito Lopez

Alex Juanito Lopez is a registered representative with Guggenheim Funds Distributors, LLC and holds the following licenses: Series 7, Series 24, Series 55, Series 63, Series 86, Series 87 and SIE. Alex began his career in the securities industry in 2000 and has over 20 years of experience in the industry. Alex has a proven track record of providing financial advice to clients. Prior to Guggenheim Funds Distributors, LLC, Alex worked at Portales Partners, LLC and Heartland Securities Corp.

Firm Information

Alex Lopez is currently registered with Guggenheim Funds Distributors, LLC. Guggenheim Funds Distributors, LLC, is a Limited Liability Company formed on November 9, 1995 and headquartered in Chicago, IL. They are registered with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands. Their primary client type is Investment Companies, with $5,881,943,581 in assets under management. Guggenheim Funds Distributors, LLC offers portfolio management services for investment companies. Their website is HTTP://WWW.GUGGENHEIMINVESTMENTS.COM.
Guggenheim Funds Distributors, LLC

227 WEST MONROE STREET

CHICAGO, IL 60606

$5.88B

Assets Under Management

Not reported

Total Clients

34

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Index licensing fee

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Alex Lopez’s Registration & Firm History

IL

04/14/2014 - Present

Guggenheim Funds Distributors, LLC (CHICAGO IL)

NY

05/22/2006 - 03/12/2014

PORTALES PARTNERS, LLC (NEW YORK NY)

NJ

07/13/1999 - 01/31/2003

HEARTLAND SECURITIES CORP. (EDISON NJ)

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Licenses & Designations

BC

Issued 05/31/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/12/2022

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/30/2006

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 07/07/2006

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 05/19/2006

Series 7 - General Securities Representative Examination

BC

Issued 05/20/2000

Series 55 - Limited Representative-Equity Trader Exam

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Alex Juanito Lopez.
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