Katherine
Cowan
Guggenheim Partners Investment Management, LLC
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About this Advisor
Katherine Cowan is a financial advisor operating in Santa Monica, California with 10 years of relevant experience. Cowan currently works for Guggenheim Partners Investment Management, LLC. Over the course of their career, Cowan has held roles at Guggenheim Securities, LLC, Guggenheim Credit Services and Guggenheim Funds Distributors, LLC. Cowan has Series 63 and Series 66 licenses, designating them as a securities broker, and is registered to serve investors in California and Texas. Guggenheim Partners Investment Management, LLC is a registered investment firm that has its headquarters in Santa Monica, CA. It has offices in four locations and a total of 549 people on staff. It oversees $198 billion in assets between its 245 customer accounts, placing it among the largest firms in the nation by assets under management. Of its 245 client accounts, just 2% are held by high-net-worth investors who have greater than $1 million in investable assets. Guggenheim Partners Investment Management, LLC provides a number of services, including portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for institutional clients and other services. Fees charged by financial advisors depend on which services the firm provides the client. However, fee types charged by Guggenheim Partners Investment Management, LLC likely consist of any blend of asset-based, fixed, performance-based and other fees.
Certifications and Registrations
Years Registered*
Services Offered
Fee Structure
Office Location
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Guggenheim Partners Investment Management, LLC Brokerage Details
$198,110,444,376
549
245
$808,614,059
Investment Advisory Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses or institutional clients
- Other
Katherine Cowan Work History
Katherine has been registered as a financial advisor for 10 years.*
Guggenheim Funds Distributors, LLC
Guggenheim Credit Services
Guggenheim Securities, LLC
*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.
Disclosures
Please visit the SEC profile of Katherine Cowan to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.
Financial Advisors at Guggenheim Partners Investment Management, LLC
Santa Monica, CA
Santa Monica, CA
New York, NY
Santa Monica, CA
Santa Monica, CA
Santa Monica, CA
The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.
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