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Lee Tracy Personeni

Guggenheim Investments

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About Lee Tracy Personeni

Lee Personeni is a financial advisor at Guggenheim Investments. Lee has been in the financial services industry since 1997. Lee has a wide range of experience in the financial services industry, having worked at several firms before joining Guggenheim Investments. Lee is registered with the Financial Industry Regulatory Authority (FINRA) and holds several licenses, including Series 7, Series 24, Series 63, and Series 65. Lee specializes in providing investment advice to investment companies and pooled investment vehicles.

Firm Information

Lee Personeni is currently registered with Guggenheim Investments. Guggenheim Investments is an investment advisor based in NEW YORK, NY. The firm manages approximately $11,255,391,581 in regulatory assets under management for 138 accounts. The firm provides investment advice to investment companies and pooled investment vehicles.
Guggenheim Investments

330 MADISON AVENUE

NEW YORK, NY 10017

$11.26B

Assets Under Management

1

Total Clients

39

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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selection of other advisors

Helps you choose top advisors aligned with your 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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Lee Personeni’s Registration & Firm History

NJ

08/26/2021 - Present

Guggenheim Investments (Saddle River NJ)

NY

04/05/2005 - 04/20/2010

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

CA

11/05/2004 - 04/06/2005

TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)

MO

07/01/2003 - 11/03/2004

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NY

07/03/1997 - 07/01/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 07/31/2003

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/06/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/11/2003

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/02/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lee Tracy Personeni.
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