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Financial and Operations Principal · Guggenheim Funds Distributors, LLC

Ying Chan

CRD 4956885 · Named on Form ADV at one SEC-registered adviser

At a glance

Guggenheim Funds Distributors, LLC, an SEC-registered broker-dealer firm based in Chicago, IL with $7.8 billion in regulatory assets, lists Ying Chan on its Form ADV as Financial and Operations Principal, a control person.

Firms and roles

AtlasMembers

Ying’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 the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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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 (6)

  • Dominick Nmn CogliandroChief Operating Officer, Unit Investment Trust Business, Guggenheim Funds Distributors, LLC
  • Amy Jo LeeGeneral Counsel, Secretary, and Senior Managing Director, Guggenheim Funds Distributors, LLC
  • Dennis Ryan MetzgerChief Compliance Officer, Guggenheim Funds Distributors, LLC
  • Elisabeth Ann MillerSenior Managing Director, Guggenheim Funds Distributors, LLC
  • Christopher Vito ParisiHead of Distribution, Senior Managing Director, Guggenheim Funds Distributors, LLC

1 more person named with Ying on the same filings, with titles and firms. Free in Atlas with a free account.

See all 6 free

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