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Douglas Proctor Makin

Guggenheim Funds Distributors, LLC

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About Douglas Proctor Makin

Douglas Makin is a financial professional with over 20 years of experience in the industry. Douglas is currently registered with Guggenheim Funds Distributors, LLC and has been with the firm since September 2011. Prior to Guggenheim Funds Distributors, LLC, Douglas was registered with DIRECT ACCESS PARTNERS LLC, KABRIK TRADING LLC, KAUFMAN BROS., L.P., ABN AMRO INCORPORATED and GRUNTAL & CO., L.L.C. Douglas holds several securities licenses including Series 7, Series 25, Series 55 and SIE. Douglas is registered with the state of New York.

Firm Information

Douglas Makin 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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Douglas Makin’s Registration & Firm History

NY

09/08/2011 - Present

Guggenheim Funds Distributors, LLC (NEW YORK NY)

NY

05/10/2010 - 06/02/2011

DIRECT ACCESS PARTNERS LLC (NEW YORK NY)

NY

09/03/2002 - 04/07/2010

KABRIK TRADING LLC (NEW YORK NY)

NY

11/19/2001 - 06/24/2002

KAUFMAN BROS., L.P. (NEW YORK NY)

CT

05/01/1998 - 12/12/2000

ABN AMRO INCORPORATED (STAMFORD CT)

NY

08/30/1995 - 04/20/1998

GRUNTAL & CO., L.L.C. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/18/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/16/2007

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/24/2003

Series 25 - NYSE Trading Assistant Examination

BC

Issued 07/10/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Douglas Proctor Makin.
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