Form MA/A GUGGENHEIM SECURITIES,

  
    MA/A
    
      
        0001009953
        XXXXXXXX
      
      
        Alice Lobo-Rocha
        212-381-7515
      
      [email protected]
      
        [email protected]
      
    
  
  
    GUGGENHEIM SECURITIES, LLC
    40638
    52-2144448
    
      
        866-01514-00
      
      
        
          867-01301
        
        
          
            008-49107
            40638
          
        
      
    
    
      
        
          330 MADISON AVENUE
          8TH FLOOR
          NEW YORK
          NY
          10017
        
      
      212-518-9915
    
    N
    www.guggenheimpartners.com
    
      
        Gary
        Neil
        Distell
      
      
        
      
      

        
          330 Madison Avenue
          8th Floor
          New York
          NY
          10017
        
      
      212-518-9915
      [email protected]
    
    
      
        Peter
        S
        Crisafi
      
      
        
      
      

        
          330 Madison Avenue
          15th Floor
          New York
          NY
          10017
        
      
      212-699-2066
      [email protected]
    
    
      
        ASSET CONSULTING GROUP, LLC
        Y
        
          SEC
          107574
          
            
          
        
      
      
        GS GAMMA ADVISORS, LLC
        Y
        
          SEC
          135424
          
            
          
        
      
      
        GUGGENHEIM FUNDS DISTRIBUTORS, LLC
        Y
        
          SEC & FINRA
          39805
          
            
          
        
      
      
        GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC (D/B/A GUGGENHEIM INVESTMENTS)
        Y
        
          SEC
          129288
          
            
          
        
      
      
        GUGGENHEIM INVESTMENT ADVISORS (EUROPE) LIMITED
        Y
        
          FINANCIAL CONDUCT AUTHORITY
          499798
          
            X0
          
        
      
      
        GUGGENHEIM INVESTMENT ADVISORS, LLC
        Y
        
          SEC
          108263
          
            
          
        
      
      
        SECURITY INVESTORS, LLC (D/B/A GUGGENHEIM INVESTMENTS)
        Y
        
          SEC
          105477
          
            
          
        
      
      
        GUGGENHEIM INVESTOR SERVICES, LLC
        Y
        
          FINRA
          30096
          
            
          
        
      
      
        Guggenheim GNP, LLC (F/K/A Guggenheim Nicklaus Partners, LLC)
        N
      
      
        GUGGENHEIM PARTNERS EUROPE LIMITED
        Y
        
          CENTRAL BANK OF IRELAND
          C46658
          
            L2
          
        
      
      
        GUGGENHEIM PARTNERS INDIA MANAGEMENT, LLC
        N
      
      
        GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
        Y
        
          SEC
          137432
          
            
          
        
      
      
        SAMMONS FINANCIAL NETWORK, LLC
        Y
        
          FINRA
          158538
          
            
          
        
      
      
        GUGGENHEIM PARTNERS MIDDLE EAST LIMITED (F/K/A GUGGENHEIM KBBO PARTNERS LIMITED)
        Y
        
          Dubai Financial Services Authority
          F002890
          
            C0
          
        
      
      
        GUGGENHEIM SECURITIES INTERNATIONAL LTD
        Y
        
          Financial Conduct Authority
          485435
          
            X0
          
        
      
      
        GUGGENHEIM PARTNERS JAPAN, LTD.
        Y
        
          KANTO FINANCIAL BUREAU
          FIBO No. 2822
          
            M0
          
        
      
      
        GUGGENHEIM PARTNERS ADVISORS, LLC
        Y
        
          SEC
          283238
          
            
          
        
      
      
        Transparent Value Private Limited
        N
      
      
        GSA, LLC
        Y
        
          SEC
          298635
          
            
          
        
      
      
        Guggenheim Partners Fund Management (Europe) Limited
        Y
        
          Central Bank of Ireland Commission
          C84084
          
            L2
          
        
      
      
        GUGGENHEIM CORPORATE FUNDING, LLC
        Y
        
          SEC
          300895
          
            
          
        
      
      
        Beacon Capital Management Inc.
        Y
        
          SEC
          120641
          
            
          
        
      
    
    
      
        
          
        
      
    
    December
    
      DE
    
    01-29-1999
    N
    658
    6
    6
    0
    0
    0
    
      
        Not Applicable
      
    
    0
    0
    0
    
      
        Not Applicable
      
    
    
      
        Fixed Fees
        Contingent Fees
      
    
    
      
        Not Applicable
      
    
    
      
        Advice Insurance Of MS
        Advice Investment Of Proceeds MS
        Advice ME Other Investments
      
    
    
      
        Y
        Y
      
    
    N
    
      Broker-dealer municipal securities dealer or government securities broker or dealer
      Investment Adviser
      Commodity pool operator
      Commodity trading advisor
      Insurance company or agency
      Pension consultant
      Real estate broker or dealer
    
    34
    
      
        
          Add
        
        
          Investment Adviser
          Pension consultant
        
        ASSET CONSULTING GROUP, LLC
        ASSET CONSULTING GROUP, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Investment Adviser
          Commodity pool operator
        
        GS GAMMA ADVISORS, LLC
        GS GAMMA ADVISORS, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Broker-dealer municipal securities dealer or government securities broker or dealer
          Investment Adviser
        
        GUGGENHEIM FUNDS DISTRIBUTORS, LLC
        GUGGENHEIM FUNDS DISTRIBUTORS, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Investment Adviser
          Commodity pool operator
        
        GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC
        GUGGENHEIM INVESTMENTS
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Investment Adviser
        
        GUGGENHEIM INVESTMENT ADVISORS (EUROPE) LIMITED
        GUGGENHEIM INVESTMENT ADVISORS (EUROPE) LIMITED
        
          N
          Y
          Y
          
            
              FINANCIAL CONDUCT AUTHORITY
              499798
              X0
            
          
        
      
      
        
          Add
        
        
          Investment Adviser
        
        GUGGENHEIM INVESTMENT ADVISORS, LLC
        GUGGENHEIM INVESTMENT ADVISORS, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Investment Adviser
          Commodity pool operator
          Commodity trading advisor
        
        SECURITY INVESTORS, LLC
        GUGGENHEIM INVESTMENTS
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Broker-dealer municipal securities dealer or government securities broker or dealer
        
        GUGGENHEIM INVESTOR SERVICES, LLC
        GUGGENHEIM INVESTOR SERVICES, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Investment Adviser
        
        Guggenheim GNP, LLC (F/K/A Guggenheim Nicklaus Partners,? LLC)
        Guggenheim GNP, LLC (F/K/A Guggenheim Nicklaus Partners,? LLC)
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Investment Adviser
        
        GUGGENHEIM PARTNERS EUROPE LIMITED
        GUGGENHEIM PARTNERS EUROPE LIMITED
        
          N
          Y
          Y
          
            
              CENTRAL BANK OF IRELAND
              C46658
              L2
            
          
        
      
      
        
          Add
        
        
          Investment Adviser
        
        GUGGENHEIM PARTNERS INDIA MANAGEMENT, LLC
        GUGGENHEIM PARTNERS INDIA MANAGEMENT, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Investment Adviser
          Commodity pool operator
          Commodity trading advisor
        
        GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
        GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Broker-dealer municipal securities dealer or government securities broker or dealer
        
        SAMMONS FINANCIAL NETWORK, LLC
        SAMMONS FINANCIAL NETWORK, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Broker-dealer municipal securities dealer or government securities broker or dealer
          Investment Adviser
        
        Guggenheim Partners Middle East Limited
        Guggenheim Partners Middle East Limited
        
          N
          Y
          Y
          
            
              Dubai Financial Services Authority
              F002890
              C0
            
          
        
      
      
        
          Add
        
        
          Broker-dealer municipal securities dealer or government securities broker or dealer
        
        GUGGENHEIM SECURITIES INTERNATIONAL LTD
        GUGGENHEIM SECURITIES INTERNATIONAL LTD
        
          N
          Y
          Y
          
            
              Financial Conduct Authority
              485435
              X0
            
          
        
      
      
        
          Add
        
        
          Broker-dealer municipal securities dealer or government securities broker or dealer
          Investment Company
        
        GUGGENHEIM PARTNERS JAPAN, LTD.
        GUGGENHEIM PARTNERS JAPAN, LTD.
        
          N
          Y
          Y
          
            
              KANTO FINANCIAL BUREAU
              FIBO No.2822
              M0
            
          
        
      
      
        
          Add
        
        
          Investment Adviser
        
        Guggenheim Partners Advisors, LLC
        Guggenheim Partners Advisors, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Real estate broker or dealer
        
        Guggenheim Real Estate (CA), Inc.
        Guggenheim Real Estate (CA), Inc.
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Investment Adviser
        
        Transparent Value Private Limited
        Transparent Value Private Limited
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Investment Adviser
        
        GSA, LLC
        GSA, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Insurance company or agency
        
        GL Marketing, LLC
        GL Marketing, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Commodity pool operator
        
        GS Gamma Management, LLC
        GS Gamma Management, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Investment Adviser
          Commodity pool operator
          Commodity trading advisor
        
        Guggenheim Partners Fund Management (Europe) Limited
        Guggenheim Partners Fund Management (Europe) Limited
        
          N
          Y
          Y
          
            
              Central Bank of Ireland
              C84084
              L2
            
          
        
      
      
        
          Add
        
        
          Insurance company or agency
        
        Midland National Life Insurance Company
        Midland National Life Insurance Company
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Insurance company or agency
        
        MNL Reinsurance Company
        MNL Reinsurance Company
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Insurance company or agency
        
        North American Company for Life and Health Insurance
        North American Company for Life and Health Insurance
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Insurance company or agency
        
        Solberg Reinsurance Company
        Solberg Reinsurance Company
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Investment Company
        
        Guggenheim Corporate Funding, LLC
        Guggenheim Corporate Funding, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Insurance company or agency
        
        Canal Reinsurance Company
        Canal Reinsurance Company
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Insurance company or agency
        
        Elsmere Insurance Agency, LLC
        Elsmere Insurance Agency, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Broker-dealer municipal securities dealer or government securities broker or dealer
        
        Beacon Capital Management Inc
        Beacon Capital Management Inc
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Insurance company or agency
        
        Heyday Insurance Agency, LLC
        Heyday Insurance Agency, LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Insurance company or agency
        
        My Financial Freedom LLC
        My Financial Freedom LLC
        
          N
          Y
          N
        
      
      
        
          Add
        
        
          Insurance company or agency
        
        SFG Bermuda Ltd.
        SFG Bermuda Ltd.
        
          N
          Y
          N
        
      
    
    
      N
      N
      N
      N
      N
      N
      N
      N
      N
      N
      N
      N
      N
    
    
      
        N
        N
        N
        N
      
      
        N
        Y
        N
        Y
        N
        N
        Y
        N
        N
        N
        N
        Y
        N
        N
        N
        N
      
      
        N
        N
        N
        N
      
    
    N
    N
    
      
        
          Links Holdings, LLC
          N
          
            
          
          52-2144923
          
            Member
            01-09-1999
            E
            Y
          
        
        
          Guggenheim Manager, Inc.
          N
          
            
          
          36-4406374
          
            Member
            03-17-2022
            NA
            Y
          
        
      
      
        
          
            ALLAN
            MICHAEL
            KATZ
          
          
            CHIEF FINANCIAL OFFICER
            07-01-2013
            NA
            Y
            5501292
          
        
        
          
            ALAN
            DAVID
            SCHWARTZ
          
          
            Co-Chairman
            09-14-2018
            NA
            Y
            416184
          
        
        
          
            Gary
            Neil
            Distell
          
          
            CHIEF COMPLIANCE OFFICER
            05-01-2016
            NA
            N
            1540489
          
        
        
          
            JOHN
            KELLY
            ROBINSON
          
          
            CHIEF LEGAL OFFICER
            11-01-2010
            NA
            N
            4781547
          
        
        
          
            Mark
            Alan
            VanLith
          
          
            Chief Executive Officer
            09-01-2015
            NA
            Y
            2263510
          
        
        
          
            James
            E
            Millstein
          
          
            Co-Chairman
            09-12-2018
            NA
            Y
            4270577
          
        
      
    
    
      
        
          SAMMONS EQUITY ALLIANCE, INC
          
            CONSOLIDATED INVESTMENT SERVICES, INC
            N
            
              
            
            88-0214301
            
              SHAREHOLDER
              07-01-2011
              E
              Y
            
          
        
        
          SAMMONS ENTERPRISES, INC. ESOT
          
            GREATBANC TRUST COMPANY, TRUSTEE
            N
            
              
            
            36-3681493
            
              TRUSTEE
              01-01-2010
              E
              Y
            
          
        
        
          GUGGENHEIM PARTNERS, LLC
          
            GUGGENHEIM CAPITAL, LLC
            N
            
              
            
            36-4358656
            
              MEMBER
              09-01-2005
              E
              Y
            
          
        
        
          LINKS HOLDINGS, LLC
          
            GUGGENHEIM PARTNERS, LLC
            N
            
              
            
            94-3489008
            
              SHAREHOLDER
              03-01-2007
              E
              Y
            
          
        
        
          GUGGENHEIM CAPITAL, LLC
          
            SAGE ASSETS, INC.
            N
            
              
            
            26-3960584
            
              MEMBER
              12-01-2008
              C
              Y
            
          
        
        
          CONSOLIDATED INVESTMENT SERVICES, INC.
          
            SAMMONS ENTERPRISES, INC.
            N
            
              
            
            75-6027423
            
              SHAREHOLDER
              12-01-2008
              E
              Y
            
          
        
        
          SAMMONS ENTERPRISES, INC.
          
            SAMMONS ENTERPRISES, INC. ESOT
            N
            
              
            
            30-6332515
            
              SHAREHOLDER
              03-01-2010
              E
              Y
            
          
        
        
          SAGE ASSETS, INC
          
            SAMMONS EQUITY ALLIANCE, INC.
            N
            
              
            
            45-2838232
            
              SHAREHOLDER
              07-01-2011
              E
              Y
            
          
        
      
    
    
      
        
          
            Links Holdings, LLC
            N
            
              
            
            52-2144923
            
              Member
              01-09-1999
              E
              Y
            
          
        
        
          
            Guggenheim Manager, Inc.
            N
            
              
            
            36-4406374
            
              Member
              03-17-2022
              NA
              Y
            
          
        
      
      
        
          
            Delete
          
          
            
              ALLAN
              MICHAEL
              KATZ
            
            
              CHIEF FINANCIAL OFFICER
              07-01-2013
              NA
              Y
              5501292
            
          
        
        
          
            
              ALAN
              DAVID
              SCHWARTZ
            
            
              Co-Chairman
              09-14-2018
              NA
              Y
              416184
            
          
        
        
          
            
              Gary
              Neil
              Distell
            
            
              CHIEF COMPLIANCE OFFICER
              05-01-2016
              NA
              N
              1540489
            
          
        
        
          
            
              JOHN
              KELLY
              ROBINSON
            
            
              CHIEF LEGAL OFFICER
              11-01-2010
              NA
              N
              4781547
            
          
        
        
          
            
              Mark
              Alan
              VanLith
            
            
              Chief Executive Officer
              09-01-2015
              NA
              Y
              2263510
            
          
        
        
          
            
              James
              E
              Millstein
            
            
              Co-Chairman
              09-12-2018
              NA
              Y
              4270577
            
          
        
        
          
            NewAdd
          
          
            
              Michael
              NMN
              Constantino (III)
            
            
              Chief Financial Officer
              07-18-2022
              NA
              Y
              2932606
            
          
        
      
      
        
          
            SAMMONS EQUITY ALLIANCE, INC
            
              CONSOLIDATED INVESTMENT SERVICES, INC
              N
              
                
              
              88-0214301
              
                SHAREHOLDER
                07-01-2011
                E
                Y
              
            
          
        
        
          
            SAMMONS ENTERPRISES, INC. ESOT
            
              GREATBANC TRUST COMPANY, TRUSTEE
              N
              
                
              
              36-3681493
              
                TRUSTEE
                01-01-2010
                E
                Y
              
            
          
        
        
          
            GUGGENHEIM PARTNERS, LLC
            
              GUGGENHEIM CAPITAL, LLC
              N
              
                
              
              36-4358656
              
                MEMBER
                09-01-2005
                E
                Y
              
            
          
        
        
          
            LINKS HOLDINGS, LLC
            
              GUGGENHEIM PARTNERS, LLC
              N
              
                
              
              94-3489008
              
                SHAREHOLDER
                03-01-2007
                E
                Y
              
            
          
        
        
          
            GUGGENHEIM CAPITAL, LLC
            
              SAGE ASSETS, INC.
              N
              
                
              
              26-3960584
              
                MEMBER
                12-01-2008
                C
                Y
              
            
          
        
        
          
            CONSOLIDATED INVESTMENT SERVICES, INC.
            
              SAMMONS ENTERPRISES, INC.
              N
              
                
              
              75-6027423
              
                SHAREHOLDER
                12-01-2008
                E
                Y
              
            
          
        
        
          
            SAMMONS ENTERPRISES, INC.
            
              SAMMONS ENTERPRISES, INC. ESOT
              N
              
                
              
              30-6332515
              
                SHAREHOLDER
                03-01-2010
                E
                Y
              
            
          
        
        
          
            SAGE ASSETS, INC
            
              SAMMONS EQUITY ALLIANCE, INC.
              N
              
                
              
              45-2838232
              
                SHAREHOLDER
                07-01-2011
                E
                Y
              
            
          
        
      
    
    
      
        
          
            
              
                
              
              
                
              
            
            
              9-E2
            
          
          
            
              
                
                  GUGGENHEIM SECURITIES, LLC
                  40638
                  1704000
                
              
            
          
        
        
          
            
              
                
              
              
                
              
            
            
              9-E2
            
          
          
            
              
                
                  GUGGENHEIM SECURITIES, LLC
                  40638
                  1660524
                
              
            
          
        
        
          
            
              
                
              
              
                
              
            
            
              9-E2
            
          
          
            
              
                
                  GUGGENHEIM SECURITIES, LLC
                  40638
                  1650726
                
              
            
          
        
        
          
            
              
                
              
              
                
              
            
            
              9-E2
            
          
          
            
              
                
                  GUGGENHEIM SECURITIES, LLC
                  40638
                  1630837
                
              
            
          
        
        
          
            
              
                
              
              
                
              
            
            
              9-E2
            
          
          
            
              
                
                  GUGGENHEIM SECURITIES, LLC
                  40638
                  1623307
                
              
            
          
        
        
          
            
              
                
              
              
                
              
            
            
              9-E2
            
          
          
            
              
                
                  GUGGENHEIM SECURITIES, LLC
                  40638
                  1580405
                
              
            
          
        
        
          
            
              
                
              
              1
              
                
              
            
            
              9-C2
              9-C4
            
          
          
            
              
                GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC
              
              
                Y
                801-62515
              
              
                
                  
                    GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC
                    129288
                    42893
                  
                
              
            
          
        
        
          
            
              
                
              
              1
              
                
              
            
            
              9-D2
            
          
          
            
              
                SECURITY INVESTORS, LLC (D/B/A GUGGENHEIM INVESTMENTS
              
              
                Y
                801-08008
              
              
                
                  
                    SECURITY INVESTORS, LLC (D/B/A GUGGENHEIM INVESTMENTS
                    105477
                    32821
                  
                
              
            
          
        
        
          
            
              
                
              
              1
              
                
              
            
            
              9-C2
              9-C4
              9-C5
            
          
          
            
              
                GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
              
              
                Y
                801-66786
              
              
                
                  
                    GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
                    137432
                    127470
                  
                
              
            
          
        
        
          
            
              
                
              
              
                
              
            
            
              9-E2
            
          
          
            
              
                
                  Guggenheim Securities, LLC
                  40638
                  1921515
                
              
            
          
        
        
          
            
              
                
              
              
                
              
            
            
              9-E2
            
          
          
            
              
                
                  Guggenheim Securities, LLC
                  40638
                  1894348
                
              
            
          
        
        
          
            
              
                
              
              
                
              
            
            
              9-C2
              9-C5
            
          
          
            
              
                
                  Guggenheim Securities, LLC
                  40638
                  2137069
                
              
            
          
        
      
    
    
      
        Gary Distell
        Gary Distell
        Chief Compliance Officer
        07-26-2022
      
      1540489
    
    
      N
      N
      N
      N
      N
      Y
      N
      N
      N
      N
      N
      N
      Y
      N
      N
      N
      N
      N
      Y
      N
      N
    
  

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