Career
Suzanne Stone has been Head of Client Service of Guggenheim Partners Investment Management since March 2025. Suzanne Stone 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 Investment Advisors, LLCAlso current– present · 12 yearsNew York, NY · Adviser representative · Firm CRD 108263
Credentials and registrations
Investment adviser representative registrations
| State | Status | Since |
|---|---|---|
| Illinois | Approved | 17 September 2014 |
| New York | Approved | 5 February 2025 |
- Status
- Approved
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 27 June 2017 |
| Series 66 | Uniform Combined State Law Examination | 11 November 2013 |
| Series 7 | General Securities Representative Examination | 23 September 2011 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Suzanne Stone
- CRD
- 5558728
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Suzanne Stone work?
Suzanne Stone has been Head of Client Service of Guggenheim Partners Investment Management, LLC since March 2025, and is a control person of the firm.
Is Suzanne Stone a financial advisor?
Yes. Suzanne Stone has a current investment-adviser registration in Illinois and New York.
How many years of experience does Suzanne Stone have?
Suzanne Stone has 14 years in the financial industry, since May 2012, across 1 adviser firm.
What exams has Suzanne Stone passed?
Suzanne Stone has passed 4 licensing exams: the Series 7, Series 66, Series 24 and Series 99TO. The earliest, the Series 7, was passed in September 2011. FINRA credited Suzanne Stone 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
- Robert SapersteinChief Compliance Officer
- Steven BrownChief Investment Officer for Fixed Income, Guggenheim Partners Investment Management
- Anne WalshManaging Partner, Chief Investment Officer, Guggenheim Partners Investment Management