0001009953-23-000010.txt : 20230410 0001009953-23-000010.hdr.sgml : 20230410 20230410073646 ACCESSION NUMBER: 0001009953-23-000010 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 SAKAGUCHI,SEAN,YUTAKA, 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: 23809706 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 0001009953-18-000011 N Sean Yutaka Sakaguchi 6320130 N 1 0001009953 GUGGENHEIM SECURITIES, LLC Guggenheim Securities, LLC 09-07-2018 N 09-07-2018 0001009953 LOCATED 09-07-2018 330 Madison Avenue, 15th FL New York NY 10017 09-2018 Guggenehiem Securities, LLC New York NY 10017 Y Y Associate 07-2016 09-2018 Millco Advisors, LP New York NY 10022 Y Y Financial Analyst 08-2012 07-2016 CLAREMONT MCKENNA COLLEGE Claremont CA 91711 N N Student 08-2010 07-2012 TIGARD HIGH SCHOOL Tigard OR 97224 N N Student 06-2010 08-2010 U.S. SENATE - OFFICE OF RON WYDEN Portland OR 97232 N N Intern 08-2009 06-2010 TIGARD HIGH SCHOOL Tigard OR 97224 N N Student 09-2006 07-2009 TWALITY MIDDLE SCHOOL Tigard OR 97224 N N Student 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 N 04-07-2023 Alice Lobo-Rocha Compliance Officer