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Richard Hugh Onkey

Guggenheim Securities, LLC

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About Richard Hugh Onkey

Richard Onkey is a financial professional with over 20 years of experience in the industry. Richard is currently registered with Guggenheim Securities, LLC in New York, NY. Prior to joining Guggenheim Securities, LLC, Richard worked at LLOYDS SECURITIES in New York, NY, PNC CAPITAL MARKETS LLC in Chicago, IL, MF GLOBAL INC. in New York, NY, SUNRISE SECURITIES CORP. in New York, NY, UBS SECURITIES LLC in New York, NY, and MORGAN STANLEY & CO., INCORPORATED in New York, NY. Richard is a Series 3, 7, 24, 63, 79TO, and SIE licensed professional. Richard is registered in 46 states and the District of Columbia.

Firm Information

Richard Onkey is currently registered with Guggenheim Securities, LLC. Guggenheim Securities, LLC is a Limited Liability Company formed in January 1999. The firm is registered with the SEC and all 50 states, as well as the District of Columbia, Puerto Rico, and the U.S. Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

107

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.

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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Richard Onkey’s Registration & Firm History

NY

09/06/2017 - Present

Guggenheim Securities, LLC (NEW YORK NY)

NY

07/01/2014 - 09/11/2017

LLOYDS SECURITIES (NEW YORK NY)

IL

02/13/2012 - 05/29/2014

PNC CAPITAL MARKETS LLC (CHICAGO IL)

NY

03/24/2011 - 12/05/2011

MF GLOBAL INC. (NEW YORK NY)

NY

09/30/2009 - 01/05/2010

SUNRISE SECURITIES CORP. (NEW YORK NY)

NY

01/20/2006 - 07/23/2009

UBS SECURITIES LLC (NEW YORK NY)

NY

08/23/2001 - 01/25/2006

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

NY

06/27/2000 - 08/30/2000

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

NC

02/02/1998 - 07/31/1998

WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)

NC

07/02/1997 - 02/02/1998

FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)

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Licenses & Designations

BC

Issued 05/12/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/28/2018

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/28/2001

Series 3 - National Commodity Futures Examination

BC

Issued 03/18/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Richard Hugh Onkey.
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