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Michael Joseph Schwager

Guggenheim Funds Distributors, LLC

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About Michael Joseph Schwager

Michael Schwager is a financial professional with over 30 years of experience in the industry. Michael currently works at Guggenheim Funds Distributors, LLC and is registered with the state of Illinois. Michael has experience working at a number of financial institutions, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Advest, Inc., Stifel, Nicolaus & Company, Incorporated, and Moran & Associates, Inc. Securities Brokerage. Michael holds multiple securities licenses including Series 7, Series 24, and Series 66.

Firm Information

Michael Schwager 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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Michael Schwager’s Registration & Firm History

IL

07/25/2006 - Present

Guggenheim Funds Distributors, LLC (CHICAGO IL)

NY

03/08/2006 - 05/10/2006

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

CT

01/14/1998 - 03/08/2006

ADVEST, INC. (HARTFORD CT)

MO

10/11/1995 - 12/08/1997

STIFEL, NICOLAUS & COMPANY, INCORPORATED (ST. LOUIS MO)

NJ

01/06/1994 - 09/18/1995

MORAN & ASSOCIATES, INC. SECURITIES BROKERAGE (RED BANK NJ)

CT

09/11/1991 - 12/07/1993

ADVEST, INC. (HARTFORD CT)

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Licenses & Designations

BOTH

Issued 09/22/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/01/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/31/2003

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/10/1991

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael Joseph Schwager.
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