0001009953-23-000007.txt : 20230410
0001009953-23-000007.hdr.sgml : 20230410
20230410073927
ACCESSION NUMBER: 0001009953-23-000007
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
BOJMEL,RONEN,ARIE,
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: 23809714
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
212-381-7515
alice.lobo-rocha@guggenheimpartners.com
N
0001009953-20-000014
N
RONEN
ARIE
BOJMEL
2756419
N
1
0001009953
GUGGENHEIM SECURITIES, LLC
GUGGENHEIM SECURITIES, LLC
09-07-2012
N
867-01301
LOCATED
09-07-2012
330 MADISON AVENUE
14TH FLOOR
NEW YORK
NY
10017
09-2012
GUGGENHEIM SECURITIES, LLC
NEW YORK
NY
10017
Y
Y
SENIOR MANAGING DIRECTOR
06-2011
09-2012
UNEMPLOYED
NEW YORK
NY
10024
N
N
NONE
05-2003
06-2011
MILLER BUCKFIRE LEWIS & CO., LLC
NEW YORK
NY
10022
N
Y
PRINCIPAL
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