Katherine Cowan, financial advisor Santa Monica CA

Katherine Cowan

CRD Number: 5001801
Current Firm: Guggenheim Partners Investment Management, LLC

Katherine Cowan (CRD# 5001801) is an Investment Advisor Representative working at Guggenheim Partners Investment Management, LLC in Santa Monica, CA and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Guggenheim Funds Distributors, LLC Chicago, IL Apr 2015 - Current 4
Guggenheim Credit Services New York, NY Apr 2013 - Current 6
Guggenheim Securities, LLC New York, NY Apr 2013 - Apr 2015 2
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York, NY Nov 2010 - Mar 2013 2
Banc Of America Securities Llc (26091) New York, NY Jan 2010 - Nov 2010 < 1
Rbs Greenwich Capital New York, NY Dec 2008 - Jan 2010 1
Rbs Securities Corporation New York, NY Nov 2007 - Jan 2010 2
The Royal Bank Of Scotland Plc New York, NY Jul 2007 - Jan 2010 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 2010
S66 NASAA Uniform Combined State Law Examination Aug 2013
Contact Info for Katherine E. Cowan
Phone Number: 310-576-1270
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    189,904
    MILLIONS
  • Total Number of Accounts
    255
    ACCOUNTS
  • Average Account Value
    $744,723,316
Compensation Options
  • A percentage of assets under your management
  • Performance-based fees
  • Other
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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BADGES
Clean Record
This advisor has a clean track record with regulators.

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