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