Career
Robert Saperstein has been Chief Compliance Officer of Guggenheim Partners Investment Management since January 2023. Robert Saperstein is a control person of the firm and directly owns under 5% of it.
Guggenheim Partners Investment Management, LLC is a New York, NY firm with $241B under management, 440 clients and 166 advisers across 5 offices, as of its July 2026 filing.
Guggenheim lists Rob Saperstein as chief compliance officer and senior regulatory counsel, with responsibility for global compliance.
No adviser firm registrations are on Robert Saperstein’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 2 January 2023 |
| Series 7TO | General Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 14 | Compliance Officer Examination | 25 September 1997 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 3 June 1997 |
| Series 7 | General Securities Representative Examination | 4 March 1997 |
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Compliance Officer Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- General Securities Representative Examination
Individual record
- Full name
- Robert Andrew Saperstein
- CRD
- 2567876
- Firm bio
- portal.guggenheiminvestments.com
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Robert Saperstein work?
Robert Saperstein has been Chief Compliance Officer of Guggenheim Partners Investment Management, LLC since January 2023, and is a control person of the firm.
Does Robert Saperstein have a current investment-adviser registration?
Robert Saperstein has a current broker registration and no current investment-adviser registration.
What exams has Robert Saperstein passed?
Robert Saperstein has passed 5 licensing exams: the Series 7, Series 8, Series 14, Series 24 and Series 7TO. The earliest, the Series 7, was passed in March 1997. FINRA credited Robert Saperstein with the SIE, which began in October 2018.
Leadership at Guggenheim Partners Investment Management
- Brian BinderPresident, Mutual Funds Boards and SR. Managing Director
- Dina DilorenzoManaging Partner, President
- Steven BrownChief Investment Officer for Fixed Income, Guggenheim Partners Investment Management
- Suzanne StoneHead of Client Service
- Anne WalshManaging Partner, Chief Investment Officer, Guggenheim Partners Investment Management