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Robert Andrew Saperstein

Guggenheim Funds Distributors, LLC

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About Robert Andrew Saperstein

Robert Andrew Saperstein is a registered representative with Guggenheim Funds Distributors, LLC. Robert Andrew Saperstein has been in the financial services industry since February 14, 2001. Robert Andrew Saperstein has held previous positions at Guggenheim Securities, LLC, Cantor Fitzgerald & Co., GDK, Inc., Goldman, Sachs & Co., and Bear, Stearns & Co. Inc. Robert Andrew Saperstein is licensed to provide securities products and services in the United States.

Firm Information

Robert Saperstein 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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Robert Saperstein’s Registration & Firm History

NY

02/27/2023 - Present

Guggenheim Funds Distributors, LLC (NEW YORK NY)

NY

08/15/2013 - 03/01/2023

GUGGENHEIM SECURITIES, LLC (NEW YORK NY)

NY

07/25/2012 - 07/29/2013

GUGGENHEIM SECURITIES, LLC (NEW YORK NY)

NY

01/17/2012 - 07/10/2012

CANTOR FITZGERALD & CO. (NEW YORK NY)

NA

04/01/2008 - 04/19/2011

GDK, INC. (ROAD TOWN, TORTOLA )

NY

11/22/2000 - 02/14/2005

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

03/05/1997 - 11/21/2000

BEAR, STEARNS & CO. INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/02/2023

Series 24 - General Securities Principal Examination

BC

Issued 09/25/1997

Series 14 - Compliance Officer Examination

BC

Issued 06/03/1997

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/04/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Robert Andrew Saperstein.
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