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Stephen Scarpino

Guggenheim Funds Distributors, LLC

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About Stephen Scarpino

Stephen Scarpino is a registered representative with Guggenheim Funds Distributors, LLC in Rockville, MD. Stephen has been in the securities industry since 2009. Stephen is licensed to sell securities in Maryland. Stephen is a Series 6, Series 7, Series 24, and SIE licensed professional.

Firm Information

Stephen Scarpino 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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Stephen Scarpino’s Registration & Firm History

MD

07/15/2024 - Present

Guggenheim Funds Distributors, LLC (ROCKVILLE MD)

MD

10/14/2015 - 07/10/2024

T. ROWE PRICE INVESTMENT SERVICES, INC. (Owings Mills MD)

PA

09/27/2012 - 09/15/2015

HARTFORD FUNDS DISTRIBUTORS, LLC (RADNOR PA)

CT

09/28/2012 - 01/24/2013

HARTFORD SECURITIES DISTRIBUTION COMPANY, INC. (HARTFORD CT)

CT

04/28/2009 - 09/12/2012

LEGG MASON INVESTOR SERVICES, LLC (STAMFORD CT)

PA

03/28/1996 - 06/24/1996

VANGUARD MARKETING CORPORATION (MALVERN PA)

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Licenses & Designations

BC

Issued 10/27/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/13/2009

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/27/2009

Series 7 - General Securities Representative Examination

BC

Issued 09/27/1995

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen Scarpino.
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