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Charles Edward Keppler

Guggenheim Funds Distributors, LLC

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About Charles Edward Keppler

Charles Edward Keppler is a financial professional with over a decade of experience in the financial services industry. Charles has held various roles at Guggenheim Funds Distributors, LLC and Harbor Funds Distributors, Inc., and has a broad range of experience serving clients. Charles is licensed to provide financial advice and investment services in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. Charles has successfully completed the Series 6, 7, 24 and 63 exams, as well as the SIE exam, demonstrating a commitment to staying up-to-date with industry regulations and best practices.

Firm Information

Charles Keppler 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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Charles Keppler’s Registration & Firm History

IL

03/03/2014 - Present

Guggenheim Funds Distributors, LLC (chicago IL)

IL

06/09/2012 - 03/03/2014

GUGGENHEIM DISTRIBUTORS, LLC (LISLE IL)

IL

05/15/2009 - 07/30/2010

HARBOR FUNDS DISTRIBUTORS, INC. (CHICAGO IL)

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Licenses & Designations

BC

Issued 08/31/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/16/2015

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/20/2012

Series 7 - General Securities Representative Examination

BC

Issued 05/14/2009

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Charles Edward Keppler.
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