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Nicholas Daniel Orsi

Guggenheim Investments

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About Nicholas Daniel Orsi

Nicholas Orsi is a registered investment advisor representative with Guggenheim Investments. Nicholas Orsi is also registered with the state of Illinois and is licensed in Illinois and Maine. Nicholas Orsi holds FINRA Series 6, 7, and 63 licenses, as well as the SIE exam and the Series 65. Nicholas Orsi has been in the industry since December 6, 2009. Previously Nicholas Orsi was registered with Quasar Distributors, LLC and Chase Investment Services Corp.

Firm Information

Nicholas Orsi 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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Nicholas Orsi’s Registration & Firm History

NY

08/04/2014 - Present

Guggenheim Investments (NEW YORK NY)

IL

11/11/2010 - 03/03/2014

GUGGENHEIM DISTRIBUTORS, LLC (LISLE IL)

ME

06/18/2009 - 11/30/2009

QUASAR DISTRIBUTORS, LLC (PORTLAND ME)

IL

12/24/2008 - 06/15/2009

CHASE INVESTMENT SERVICES CORP. (WHEATON IL)

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Licenses & Designations

IA

Issued 07/31/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/05/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/23/2010

Series 7 - General Securities Representative Examination

BC

Issued 12/23/2008

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicholas Daniel Orsi.
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