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General Counsel, Secretary, and SR. Managing Director · Guggenheim Investments

Amy Jo Lee

CRD 1161869 · Named on Form ADV at 3 SEC-registered advisers

At a glance

Guggenheim Investments, an SEC-registered asset manager based in New York, NY with $8.0 billion in regulatory assets, lists Amy Jo Lee on its Form ADV as General Counsel, Secretary, and SR. Managing Director, a control person. The SEC filings also name Amy at 2 other registered advisers.

Firms and roles

  • Guggenheim InvestmentsGeneral Counsel, Secretary, and SR. Managing DirectorAsset manager · New York, NY · $8.0B in regulatory assets
  • Guggenheim Funds Distributors, LLCGeneral Counsel, Secretary, and Senior Managing DirectorBroker-dealer firm · Chicago, IL · $7.8B in regulatory assets
  • Guggenheim InvestmentsGeneral Counsel, Secretary, and SR. Managing DirectorAsset manager · Chicago, IL · $4.1B in regulatory assets

AtlasMembers

Amy’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at each firm
3 firmsLocked
Control-person status
3 firmsLocked
When each role began
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Each firm’s assets and growth
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Search and export owners by title, state and firm size
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (12)

7 more people named with Amy on the same filings, with titles and firms. Free in Atlas with a free account.

See all 12 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Amy’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.