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