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Lori Sue Dervis

Guggenheim Funds Distributors, LLC

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About Lori Sue Dervis

Lori Dervis is a registered representative with Guggenheim Funds Distributors, LLC. Lori has been in the industry since 2016 and holds the Series 7 and SIE licenses. Prior to joining Guggenheim Funds Distributors, LLC Lori worked at Van Kampen Funds Inc. in Houston, Texas.

Firm Information

Lori Dervis 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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Lori Dervis’s Registration & Firm History

IL

01/25/2019 - Present

Guggenheim Funds Distributors, LLC (Lisle IL)

TX

03/13/2002 - 07/27/2004

VAN KAMPEN FUNDS INC. (HOUSTON TX)

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Licenses & Designations

BC

Issued 01/26/2019

SIE - Securities Industry Essentials Examination

BC

Issued 01/25/2019

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lori Sue Dervis.
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