Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Howard? Claim Your ProfileHoward Guggenheim is an active investment advisor representative with Morgan Stanley in Boca Raton, FL. Howard has over 50 years of experience in the financial services industry. Howard began their career in 1967 with McDonald & Company. In 1978, Howard joined Citigroup Global Markets Inc. and later transitioned to Morgan Stanley in 2009. Howard is a registered investment advisor in Florida and a resident investment advisor in Texas. Howard holds a Series 63 and Series 65 license, along with various other securities industry certifications.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
04/23/2020 - Present
Morgan Stanley (Boca Raton FL)
FL
11/06/1978 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BOCA RATON FL)
NA
05/22/1967 - 11/12/1978
MCDONALD & COMPANY
IA
Issued 03/29/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/31/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/25/1980
Series 4 - Registered Options Principal Examination
BC
Issued 05/15/1967
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/1983
Series 3 - National Commodity Futures Examination
BC
Issued 10/23/1981
Series 5 - Interest Rate Options Examination
BC
Issued 04/12/1979
PC - AMEX Put and Call Exam
BC
Issued 03/21/1956
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Howard Guggenheim is the right advisor for you? Invested Better is here to help.
