0001009953-23-000008.txt : 20230410
0001009953-23-000008.hdr.sgml : 20230410
20230410073809
ACCESSION NUMBER: 0001009953-23-000008
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
MILLSTEIN,JAMES,ELIOT,
FILED AS OF DATE: 20230407
DATE AS OF CHANGE: 20230410
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: GUGGENHEIM SECURITIES, LLC
CENTRAL INDEX KEY: 0001009953
IRS NUMBER: 522144448
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: MA-I/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-04357
FILM NUMBER: 23809712
BUSINESS ADDRESS:
STREET 1: 330 MADISON AVENUE
STREET 2: 8TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-381-4125
MAIL ADDRESS:
STREET 1: 330 MADISON AVENUE
STREET 2: 8TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
FORMER COMPANY:
FORMER CONFORMED NAME: GUGGENHEIM CAPITAL MARKETS, LLC
DATE OF NAME CHANGE: 20090731
FORMER COMPANY:
FORMER CONFORMED NAME: GUGGENHEIM SECURITIES, LLC
DATE OF NAME CHANGE: 20090722
FORMER COMPANY:
FORMER CONFORMED NAME: GUGGENHEIM CAPITAL MARKETS, LLC
DATE OF NAME CHANGE: 20040311
MA-I/A
1
primary_doc.xml
MA-I/A
0001009953
XXXXXXXX
Alice Lobo-Rocha
2123817515
alice.lobo-rocha@guggenheimpartners.com
N
0001009953-20-000013
N
James
Eliot
Millstein
4270577
N
1
0001009953
GUGGENHEIM SECURITIES, LLC
Guggenheim Securities, LLC
09-14-2018
N
09-14-2018
0001009953
LOCATED
09-07-2018
330 MADISON AVENUE
15th FLOOR
NEW YORK
NY
10017
09-2018
Guggenheim Securities, LLC
New York
NY
10017
Y
Y
Senior Managing Director - Co-CEO
05-2012
09-2018
Millco Advisors, LP
New York
NY
10022
Y
Y
Chairman and CEO
03-2012
03-2013
M.J. Whitman LLC
New York
NY
10017
N
Y
Consultant
02-2012
03-2013
Third Avenue Management
New York
NY
10017
N
Y
PART TIME, POSITION TBD
08-2011
04-2012
Millstein & Co., LLC
Washington
DC
20006
N
Y
Chairman & Chief Executive Officer
08-2011
01-2012
Georgetown University School of Law
Washington
DC
20001
N
N
Adjunct Professor of Law
02-2011
08-2011
Unemployed
Washington
DC
20008
N
N
n/a
05-2009
02-2011
United States Department of the Treasury
Washington
DC
20220
N
N
Chief Restructuring Officer
04-2009
05-2009
Unemployed
Washington
DC
20008
N
N
n/a
09-2000
03-2009
Lazard Freres & Co. LLC
New York
NY
10020
Y
Y
Managing Director
Y
04-2012
MILLSTEIN & CO. LP
1717 PENNSYLVANIA AVE, NW STE 333
Washington
DC
20006-4614
N
Y
Financial Advisory
Chairman and CEO
10
Chief Executive Officer
10-2017
Mill Point Capital Partners GP, L.P
555 MADISON AVENUE, 16TH FLOOR
New York
NY
10022
N
Y
Financial services
Chairman of the Investment Committee
10
Chairman of the Investment Committee
04-2018
VectoIQ Holdings, LLC
1354 Flagler
Mamaroneck
NY
10543
N
N
Small Private Company in Financial Industry-Sponsor of a SPAC
Passive Consultant
2
Listed as an "Other Advisore: with no formal commitments
06-2018
Land Trust Alliance
1250 H Street NW, Suite 600
Washington
DC
20008
N
N
Not for Profit - Conservation
Board Member
3
Board Member
06-2011
Weantinoge Heritage Land Trust
5 Maple St
Kent
CT
65757
N
N
Not for Profit Land Trust Conservation Organization
Board Member
3
Board Member
11-2017
Treasure Hill Foundation
131 East 66th St 10E
New York
NY
10065
N
N
Not for Profit Charitable Foundation
Board Member
2
Board Member, Grant Review
01-2012
Georgetown University Law Center
600 New Jersey Ave NW
Washington
DC
20001
N
N
Not for profit in education
Adjunct Professor of Law
0
Adjunct Professor of Law-No time devoted 2018-2020
01-2017
Columbia University School of Law
35 W. 116th St
New York
NY
10027
N
N
Not for Profit - Education
Board Member
28
Adjunct Professor of Law
01-2016
Ira M. Millstein Center for Global Markets and Corporate Ownership
435 West 116 St.
New York
NY
10027
N
N
Not for Profit - Center part of Columbia Law School
Board Member
5
Advisory Board Member and is the Co-Head of Research Projects on Capital Markets
01-2023
Full Circle Fiber Partners LLC
8600 Park Meadows Dr. Suite 800
Lone Tree
CO
80124
N
N
Contrucgtion - Fiber OPtic
Board Member
1
Board Member
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
04-07-2023
Alice Lobo-Rocha
Compliance Officer