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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

Richard G Jaeger

Advisor at GUGGENHEIM INVESTMENTS

Garden City, NY | NEW YORK, NY

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Search this name across graphsid dfx:ria:b053cc33-1a1a-4317-d19f-40fc6e67d6aa

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jan 6, 2009 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: GUGGENHEIM INVESTMENTS
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 16, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Jan 16, 1986
First registration: Jan 6, 2009
Dual registered: yes, broker-dealer
Other names: RICHARD G JAEGER|RICH JAEGER|RICHARD GEORGE JAEGER
IAPD individual key: 1338806

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
GUGGENHEIM INVESTMENTS	Asset manager	Nov 7, 2024	n/a	yes	NEW YORK, NY\|Garden City, NY	Current employment
ADVISORS ASSET MANAGEMENT, INC.	Mixed wealth	Mar 1, 2023	Sep 9, 2024	no	Garden City, NY\|MELVILLE, NY	Previous registration
HENNION & WALSH ASSET MANAGEMENT, INC.	Bd affiliated wealth	Jan 5, 2017	Mar 3, 2023	no	PARSIPPANY, NJ	Previous registration
FIRST TRUST ADVISORS LP	Asset manager	Jan 6, 2009	Oct 10, 2016	no	WHEATON, IL\|GARDEN CITY, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ADVISORS ASSET MANAGEMENT, INC.	GUGGENHEIM INVESTMENTS	Sep 9, 2024	Nov 7, 2024	59	Firm change	Other
HENNION & WALSH ASSET MANAGEMENT, INC.	ADVISORS ASSET MANAGEMENT, INC.	Mar 3, 2023	Mar 1, 2023	-2	Firm change	Other
FIRST TRUST ADVISORS LP	HENNION & WALSH ASSET MANAGEMENT, INC.	Oct 10, 2016	Jan 5, 2017	87	Firm change	Other

Relationships

Registered with (4)

→ GUGGENHEIM INVESTMENTSRegistered adviserregistration: current employment
Nov 7, 2024 to presentfactForm ADV
→ ADVISORS ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Mar 1, 2023 to Sep 9, 2024factForm ADV
→ HENNION & WALSH ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Jan 5, 2017 to Mar 3, 2023factForm ADV
→ FIRST TRUST ADVISORS LPRegistered adviserregistration: previous registration
Jan 6, 2009 to Oct 10, 2016factForm ADV

Dated events

Occurred
Sep 9, 2024
Advisor changed firm
Richard G Jaeger left Advisors Asset Management, Inc. for Guggenheim Investments (registered 2024-11-07)
Form ADVobserved 5 days ago
Occurred
Mar 3, 2023
Advisor changed firm
Richard G Jaeger left Hennion & Walsh Asset Management, Inc. for Advisors Asset Management, Inc. (registered 2023-03-01)
Form ADVobserved 5 days ago