Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
DANIEL JAY GUGGENHEIM
DAN GUGGENHEIM
CRD#: 1546797
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 595 South Federal Highway
Suite 400
Boca Raton, FL 33432
Registration History
199019952000200520102015202020252 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1989 - 2009 (20 years)BMCDONALD & COMPANY SECURITIES,... (CRD# 566)1986 - 1989 (2 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1999 - 2009 (9 years)
License(s)

State Registrations

B
Alabama 6/1/2009
B
Nebraska 1/27/2022
B
Alaska 11/10/2017
B
Nevada 7/2/2014
B
Arizona 6/1/2009
B
New Hampshire 11/10/2017
B
Arkansas 11/30/2017
B
New Jersey 9/6/2016
B
California 6/1/2009
B
New Mexico 11/10/2017
B
Colorado 6/1/2009
B
New York 6/1/2009
B
Connecticut 5/5/2016
B
North Carolina 6/1/2009
B
Delaware 6/1/2009
B
North Dakota 11/10/2017
B
District of Columbia 11/30/2010
B
Ohio 6/1/2009
B
Florida 6/1/2009
IA
Ohio 6/1/2009
IA
Florida 6/27/2016
B
Oklahoma 10/7/2022
B
Georgia 6/1/2009
B
Oregon 11/10/2017
B
Hawaii 11/10/2017
B
Pennsylvania 6/1/2009
B
Idaho 1/10/2013
B
Puerto Rico 1/13/2021
B
Illinois 6/1/2009
B
Rhode Island 11/10/2017
B
Indiana 2/23/2021
B
South Carolina 3/18/2010
B
Iowa 1/23/2015
B
South Dakota 11/10/2017
B
Kansas 11/10/2017
B
Tennessee 1/13/2017
B
Kentucky 2/2/2017
B
Texas 1/5/2017
B
Louisiana 9/27/2017
IA
Texas 4/23/2020
B
Maine 11/10/2017
B
Utah 11/10/2017
B
Maryland 6/1/2009
B
Vermont 11/10/2017
B
Massachusetts 1/5/2017
B
Virgin Islands 11/30/2017
B
Michigan 1/5/2017
B
Virginia 11/1/2016
B
Minnesota 11/10/2017
B
Washington 4/25/2013
B
Mississippi 1/27/2022
B
West Virginia 11/10/2017
B
Missouri 6/1/2009
B
Wisconsin 6/1/2009
B
Montana 6/1/2009
B
Wyoming 3/8/2024

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
595 South Federal Highway Suite 400, Boca Raton, FL 33432
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
595 South Federal Highway Suite 400, Boca Raton, FL 33432
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/07/1999 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PEPPER PIKE, OH
B
 02/06/1989 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PEPPER PIKE, OH
B
 09/29/1986 - 01/02/1989 MCDONALD & COMPANY SECURITIES, INC. (CRD#:566)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.