Unclaimed Profile

Ying Chan

GUGGENHEIM FUNDS DISTRIBUTORS, LLC·CHICAGO, Illinois

SIE, Series 7, Series 27, Series 63, Series 99TOClean recordGUGGENHEIM FUNDS DISTRIBUTORS, LLC

227 WEST MONROE STREET, CHICAGO, IL 60606CRD# 4956885Firm CRD# 39805

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Ying Chan · CHICAGO, IL

Registration

CRD #4956885 · GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Brand Profile

Not yet started

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 27

Series 63

Series 99TO

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD 39805 · SEC 801-54810

AUM

$5.9B

Regulatory assets under management

Employees

232

281 client accounts

Services offered by GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Per Form ADV

Portfolio management (pooled investments)

Client types served by the firm

Per Form ADV

Institutional Investors

View all advisors at GUGGENHEIM FUNDS DISTRIBUTORS, LLC →

Introduction

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Frequently Asked Questions

What services does Ying Chan offer?

Ying Chan specializes in Investment Management. Contact their office in CHICAGO, Illinois for a consultation.

What are Ying Chan's credentials?

Ying Chan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Ying Chan located?

Ying Chan is based in CHICAGO, Illinois, working with GUGGENHEIM FUNDS DISTRIBUTORS, LLC. Their office serves clients in the CHICAGO metropolitan area and surrounding communities.

How does Ying Chan charge for services?

Ying Chan's firm is compensated through percentage of aum, other: index licensing fee. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is GUGGENHEIM FUNDS DISTRIBUTORS, LLC?

GUGGENHEIM FUNDS DISTRIBUTORS, LLC has approximately 232 employees and manages $5.9B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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