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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

Kevin Truckly

Advisor at GUGGENHEIM INVESTMENTS

NEW YORK, NY

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Search this name across graphsid dfx:ria:e09b9654-f31e-828b-2155-6f3714b6c3cd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Sep 23, 2020 to Sep 14, 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: Aug 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 21, 2020
First registration: Sep 23, 2020
Dual registered: yes, broker-dealer
Other names: Kevin Truckly|Kevin John Truckly|Kevin J Truckly
IAPD individual key: 6896697

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	Aug 12, 2025	n/a	yes	NEW YORK, NY	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 24, 2023	Jul 15, 2025	no	NEW YORK, NY\|COLUMBUS, OH	Previous registration
NATIXIS ADVISORS, LLC	Bd affiliated wealth	Sep 9, 2021	Mar 13, 2023	no	BOSTON, MA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 23, 2020	Aug 23, 2021	no	NEW YORK, NY\|COLUMBUS, OH\|COLUMBUS, OH	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	GUGGENHEIM INVESTMENTS	Jul 15, 2025	Aug 12, 2025	28	Firm change	Other
NATIXIS ADVISORS, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 13, 2023	Nov 24, 2023	256	Firm change	Ibd to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	NATIXIS ADVISORS, LLC	Aug 23, 2021	Sep 9, 2021	17	Firm change	Wirehouse to ibd

Relationships

Registered with (3)

→ GUGGENHEIM INVESTMENTSRegistered adviserregistration: current employment
Aug 12, 2025 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 24, 2023 to Jul 15, 2025factForm ADV
→ NATIXIS ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 9, 2021 to Mar 13, 2023factForm ADV

Dated events

Occurred
Jul 15, 2025
Advisor changed firm
Kevin Truckly left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Guggenheim Investments (registered 2025-08-12)
Form ADVobserved 6 days ago
Occurred
Mar 13, 2023
Advisor changed firm
Kevin Truckly left Natixis Advisors, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-11-24)
Form ADVobserved 6 days ago