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Dante Francis Ferrarie

Guggenheim Securities, LLC

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About Dante Francis Ferrarie

Dante Francis Ferrarie is a financial advisor with Guggenheim Securities, LLC. Dante has been in the industry since 1991 and is currently registered in 34 states. Dante's current registration with Guggenheim Securities, LLC began in 2012. Dante has also been previously registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Herzog, Heine, Geduld, LLC, Deutsche Bank Securities Inc., and Salomon Brothers Inc. Dante has passed the Series 4, 7, 9, 10, 24, 55, 57TO, and 63 exams.

Firm Information

Dante Ferrarie is currently registered with Guggenheim Securities, LLC. Guggenheim Securities, LLC is a Limited Liability Company formed in January 1999. The firm is registered with the SEC and all 50 states, as well as the District of Columbia, Puerto Rico, and the U.S. Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

107

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.

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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Dante Ferrarie’s Registration & Firm History

NY

02/10/2012 - Present

Guggenheim Securities, LLC (NEW YORK NY)

NY

05/31/2011 - 01/31/2012

TICONDEROGA SECURITIES LLC (NEW YORK NY)

NY

01/23/2009 - 12/21/2011

SOLEIL SECURITIES CORPORATION (NEW YORK NY)

NY

05/14/2008 - 01/28/2009

LABRANCHE FINANCIAL SERVICES, LLC (NEW YORK NY)

NY

04/08/1999 - 10/02/2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

03/07/2006 - 07/07/2006

WAVE SECURITIES, LLC (NEW YORK NY)

NY

01/14/2002 - 10/25/2002

HERZOG, HEINE, GEDULD, LLC (NEW YORK NY)

NY

06/24/1996 - 02/26/1999

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

01/23/1990 - 05/31/1996

SALOMON BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/24/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/30/2021

Series 4 - Registered Options Principal Examination

BC

Issued 03/27/2002

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 03/26/2002

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/08/1998

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/28/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 01/20/1990

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Dante Francis Ferrarie.
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