alan schwartz

executive chairman, guggenheim securities, llc

New York City, New York | PathNorth member since 2016


Alan is the executive chairman of Guggenheim Securities, LLC; previously, he served as its CEO.  Early in his career, he joined The Bear Stearns Companies, LLC and worked his way through the ranks, serving as an executive vice president and head of the investment banking department, and eventually becoming the president and CEO of the company. After the sale of the bank to JPMorgan Chase & Co., Alan joined Guggenheim Securities, LLC in 2009. He has built a full-service investment bank in the mold of Bear Steans and Goldman Sachs, offering equities and debt sales, trading, and research, as well as merges and acquisitions advisory and underwriting.  He is a director of several charities and nonprofits, including the Robin Hood Foundation, which combats poverty in New York, and amfAR, the Foundation for AIDS Research.  Alan attended Duke University where he played baseball on an athletic scholarship and earned his degree in business administration. He has five children and enjoys golf and skiing.