MA-A
0001009953
XXXXXXXX
Alice Lobo-Rocha
212-381-7515
alice.lobo-rocha@guggenheimpartners.com
GSComplianceInquiries@guggenheimpartners.com
12-31-2025
Y
GUGGENHEIM SECURITIES, LLC
40638
52-2144448
866-01514-00
867-01301
008-49107
40638
330 MADISON AVENUE
8TH FLOOR
NEW YORK
NY
10017
212-518-9542
N
www.guggenheimpartners.com
Tracy
Ann
Lowery Whille
Senior Managing Director
330 Madison Avenue
8th Floor
New York
NY
10017
212-518-9542
Tracy.Whille@guggenheimpartners.com
Peter
S
Crisafi
Compliance Officer
330 Madison Avenue
15th Floor
New York
NY
10017
212-699-2066
peter.crisafi@guggenheimpartners.com
ASSET CONSULTING GROUP, LLC
Y
SEC
107574
GS GAMMA ADVISORS, LLC
Y
SEC
135424
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
Y
SEC & FINRA
39805
GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC (D/B/A GUGGENHEIM INVESTMENTS)
Y
SEC
129288
GUGGENHEIM INVESTMENT ADVISORS (EUROPE) LIMITED
Y
FINANCIAL CONDUCT AUTHORITY
499798
X0
GUGGENHEIM INVESTMENT ADVISORS, LLC
Y
SEC
108263
SECURITY INVESTORS, LLC (D/B/A GUGGENHEIM INVESTMENTS)
Y
SEC
105477
GUGGENHEIM INVESTOR SERVICES, LLC
Y
FINRA
30096
Guggenheim GNP, LLC (F/K/A Guggenheim Nicklaus Partners, LLC)
N
GUGGENHEIM PARTNERS EUROPE LIMITED
Y
CENTRAL BANK OF IRELAND
C46658
L2
GUGGENHEIM PARTNERS INDIA MANAGEMENT, LLC
N
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
Y
SEC
137432
GUGGENHEIM PARTNERS MIDDLE EAST LIMITED (F/K/A GUGGENHEIM KBBO PARTNERS LIMITED)
Y
Dubai Financial Services Authority
F002890
C0
GUGGENHEIM SECURITIES INTERNATIONAL LTD
Y
Financial Conduct Authority
485435
X0
GUGGENHEIM PARTNERS JAPAN, LTD.
Y
KANTO FINANCIAL BUREAU
FIBO No. 2822
M0
GUGGENHEIM WEALTH SOLUTIONS, LLC
Y
SEC
283238
Transparent Value Private Limited
N
GUGGENHEIM CORPORATE FUNDING, LLC
Y
SEC
300895
Guggenheim Securities Research Services, LLC
N
GUGGENHEIM SECURITIES EUROPE LIMITED
Y
Central Bank of Ireland
C502293
L2
GIFMS CAPITAL COMPANY, LLC
Y
SEC
Guggenheim Private Investments, LLC
Y
SEC
331479
Guggenheim Investments Loan Advisors, LLC
Y
SEC
339528
December
DE
01-29-1999
N
935
4
4
0
0
0
Other
The Firm does not have any clients at this time, but should the Firm in the future, the client(s) likely would be categorized as either Municipal Entities or Corporations or other businesses who are obligated persons
0
0
0
Not Applicable
Fixed Fees
Contingent Fees
Not Applicable
Advice Insurance Of MS
Advice Investment Of Proceeds MS
Advice ME Other Investments
Y
Y
N
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Security-based swap dealer
Commodity pool operator
Commodity trading advisor
Pension consultant
Real estate broker or dealer
25
Add
Investment Adviser
Pension consultant
ASSET CONSULTING GROUP, LLC
ASSET CONSULTING GROUP, LLC
N
Y
N
Add
Investment Adviser
Commodity pool operator
GS GAMMA ADVISORS, LLC
GS GAMMA ADVISORS, LLC
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
N
Y
N
Add
Investment Adviser
Commodity pool operator
GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC
GUGGENHEIM INVESTMENTS
N
Y
N
Add
Investment Adviser
GUGGENHEIM INVESTMENT ADVISORS (EUROPE) LIMITED
GUGGENHEIM INVESTMENT ADVISORS (EUROPE) LIMITED
N
Y
Y
FINANCIAL CONDUCT AUTHORITY
499798
X0
Add
Investment Adviser
Commodity trading advisor
GUGGENHEIM INVESTMENT ADVISORS, LLC
GUGGENHEIM INVESTMENT ADVISORS, LLC
N
Y
N
Add
Investment Adviser
Commodity pool operator
Commodity trading advisor
SECURITY INVESTORS, LLC
GUGGENHEIM INVESTMENTS
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
GUGGENHEIM INVESTOR SERVICES, LLC
GUGGENHEIM INVESTOR SERVICES, LLC
N
Y
N
Amend
Investment Adviser
Guggenheim GNP, LLC (F/K/A Guggenheim Nicklaus Partners, LLC)
Guggenheim GNP, LLC (F/K/A Guggenheim Nicklaus Partners, LLC)
N
Y
N
Add
Investment Adviser
GUGGENHEIM PARTNERS EUROPE LIMITED
GUGGENHEIM PARTNERS EUROPE LIMITED
N
Y
Y
CENTRAL BANK OF IRELAND
C46658
L2
Add
Investment Adviser
GUGGENHEIM PARTNERS INDIA MANAGEMENT, LLC
GUGGENHEIM PARTNERS INDIA MANAGEMENT, LLC
N
Y
N
Add
Investment Adviser
Commodity pool operator
Commodity trading advisor
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Guggenheim Partners Middle East Limited
Guggenheim Partners Middle East Limited
N
Y
Y
Dubai Financial Services Authority
F002890
C0
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
GUGGENHEIM SECURITIES INTERNATIONAL LTD
GUGGENHEIM SECURITIES INTERNATIONAL LTD
N
Y
Y
Financial Conduct Authority
485435
X0
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Company
GUGGENHEIM PARTNERS JAPAN, LTD.
GUGGENHEIM PARTNERS JAPAN, LTD.
N
Y
Y
KANTO FINANCIAL BUREAU
FIBO No.2822
M0
Add
Investment Adviser
GUGGENHEIM WEALTH SOLUTIONS, LLC
GUGGENHEIM WEALTH SOLUTIONS, LLC
N
Y
N
Add
Real estate broker or dealer
Guggenheim Real Estate (CA), Inc.
Guggenheim Real Estate (CA), Inc.
N
Y
N
Add
Investment Adviser
Transparent Value Private Limited
Transparent Value Private Limited
N
Y
N
Add
Commodity pool operator
GS Gamma Management, LLC
GS Gamma Management, LLC
N
Y
N
Delete
Insurance company or agency
Solberg Reinsurance Company
Solberg Reinsurance Company
N
Y
N
Add
Investment Company
Guggenheim Corporate Funding, LLC
Guggenheim Corporate Funding, LLC
N
Y
N
Delete
Insurance company or agency
My Financial Freedom LLC
My Financial Freedom LLC
N
Y
N
Add
Investment Adviser
Guggenheim Securities Research Services, LLC
Guggenheim Securities Research Services, LLC
N
Y
N
Amend
Broker-dealer municipal securities dealer or government securities broker or dealer
GUGGENHEIM SECURITIES EUROPE LIMITED
GUGGENHEIM SECURITIES EUROPE LIMITED
N
Y
Y
BANK OF IRELAND
C502293
L2
Add
Security-based swap dealer
GIFMS CAPITAL COMPANY, LLC
GIFMS CAPITAL COMPANY, LLC
N
Y
N
Add
Investment Adviser
Guggenheim Private Investments, LLC
Guggenheim Private Investments, LLC
N
Y
N
NewAdd
Investment Adviser
Guggenheim Investments Loan Advisors, LLC
Guggenheim Investments Loan Advisors, LLC
N
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Add
Sage Assets, Inc.
Delaware
4637224
12-22-2008
Sage Assets, Inc. has authority to appoint representatives to the Executive Committee of Guggenheim Capital, an indirect parent of Guggenheim Securities, LLC (GS). The Executive Committee influences high-level policies on business strategy for Guggenheim Capital and its indirect subsidiaries, including GS.
5949 Sherry Lane
Suite 1880
Dallas
TX
75225
214-210-5000
N
N
N
N
N
Y
N
Y
Y
N
Y
N
N
N
N
Y
N
N
N
N
N
N
N
N
N
N
Links Holdings, LLC
N
52-2144923
Member
01-09-1999
E
Y
Guggenheim Manager, Inc.
N
36-4406374
Member
03-17-2022
NA
Y
ALAN
DAVID
SCHWARTZ
Co-Chairman
09-14-2018
NA
Y
416184
JOHN
KELLY
ROBINSON
CHIEF LEGAL OFFICER
11-01-2010
NA
N
4781547
Mark
Alan
VanLith
Chief Executive Officer
09-01-2015
NA
Y
2263510
James
E
Millstein
Co-Chairman
09-12-2018
NA
Y
4270577
Tracy
Ann
Lowery Whille
Chief Compliance Officer
06-21-2024
NA
N
2872693
Andrew
Jon
Schwartz
CHIEF FINANCIAL OFFICER
10-21-2024
NA
Y
5121914
Susan
nmi
Tsou
FINOP
09-26-2025
NA
N
6187001
GUGGENHEIM PARTNERS, LLC
GUGGENHEIM CAPITAL, LLC
N
36-4358656
MEMBER
09-01-2005
E
Y
LINKS HOLDINGS, LLC
GUGGENHEIM PARTNERS, LLC
N
94-3489008
SHAREHOLDER
03-01-2007
E
Y
Links Holdings, LLC
N
52-2144923
Member
01-09-1999
E
Y
Guggenheim Manager, Inc.
N
36-4406374
Member
03-17-2022
NA
Y
ALAN
DAVID
SCHWARTZ
Co-Chairman
09-14-2018
NA
Y
416184
JOHN
KELLY
ROBINSON
CHIEF LEGAL OFFICER
11-01-2010
NA
N
4781547
Mark
Alan
VanLith
Chief Executive Officer
09-01-2015
NA
Y
2263510
James
E
Millstein
Co-Chairman
09-12-2018
NA
Y
4270577
Tracy
Ann
Lowery Whille
Chief Compliance Officer
06-21-2024
NA
N
2872693
Andrew
Jon
Schwartz
CHIEF FINANCIAL OFFICER
10-21-2024
NA
Y
5121914
Susan
nmi
Tsou
FINOP
09-26-2025
NA
N
6187001
GUGGENHEIM PARTNERS, LLC
GUGGENHEIM CAPITAL, LLC
N
36-4358656
MEMBER
09-01-2005
E
Y
LINKS HOLDINGS, LLC
GUGGENHEIM PARTNERS, LLC
N
94-3489008
SHAREHOLDER
03-01-2007
E
Y
9-E2
GUGGENHEIM SECURITIES, LLC
40638
1704000
9-E2
GUGGENHEIM SECURITIES, LLC
40638
1660524
9-E2
GUGGENHEIM SECURITIES, LLC
40638
1650726
9-E2
GUGGENHEIM SECURITIES, LLC
40638
1630837
9-E2
GUGGENHEIM SECURITIES, LLC
40638
1623307
9-E2
GUGGENHEIM SECURITIES, LLC
40638
1580405
1
9-C2
9-C4
GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC
Y
801-62515
GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC
129288
42893
1
9-D2
SECURITY INVESTORS, LLC (D/B/A GUGGENHEIM INVESTMENTS
Y
801-08008
SECURITY INVESTORS, LLC (D/B/A GUGGENHEIM INVESTMENTS
105477
32821
1
9-C2
9-C4
9-C5
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
Y
801-66786
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
137432
127470
9-E2
Guggenheim Securities, LLC
40638
1921515
9-E2
Guggenheim Securities, LLC
40638
1894348
9-C2
9-C5
Guggenheim Securities, LLC
40638
2137069
1
9-C2
9-C4
9-C5
Guggenheim Securities, LLC
40638
2321813
Guggenheim Partners Investment Management, LLC
N
137432
Guggenheim Partners Investment Management, LLC
137432
2321813
Tracy Lowery Whille
Tracy Lowery Whille
Chief Compliance Officer
03-31-2026
2872693
N
N
N
N
N
Y
N
N
N
N
N
N
Y
N
N
N
Y
N
Y
N
N