GUGGENHEIM INVESTOR SERVICES, LLC

SEC CIK 0000885730

CIK #885730

The following is an index of Security and Exchange Commission registration information for GUGGENHEIM INVESTOR SERVICES, LLC. This page includes all SEC filing details as well as a list of any documents registered by GUGGENHEIM INVESTOR SERVICES, LLC.
Latest Edgar Filing Status
Updated2019-04-11
TypeBROKER-DEALER
IRS Number (EIN/SSN)300003311 ( EIN # 30-0003311)
Reporting File Number008-44742
Mailing Address330 MADISON AVENUE 11TH FLOOR NEW YORK, NEW YORK 10017
StateDELAWARE
Contact Phone212-901-9405
Fiscal Year End Date1231
Filings
Title
Date
Description
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2019-03-21 12:54:25-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2019-03-20 10:44:38-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2018-03-07 12:16:36-05:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2018-03-06 12:48:25-05:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2017-03-21 16:28:17-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2017-03-09 14:30:46-05:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2016-03-24 11:20:24-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2016-03-24 11:18:16-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2015-03-21 13:21:01-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2015-03-13 11:15:34-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2014-04-09 18:30:11-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2014-03-21 20:51:56-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2013-04-03 12:18:43-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2013-03-13 08:51:32-04:00
FOCUS Report
X-17A-5 [Paper] - FOCUS Report
2012-07-24 10:03:16-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2012-07-23 15:37:31-04:00
FOCUSN [Paper]
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2011-04-07 10:42:23-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2011-03-29 16:43:15-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2010-03-23 15:31:50-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2010-03-23 15:21:33-04:00
FOCUS Report
X-17A-5 [Paper] - FOCUS Report
2009-05-28 16:40:40-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2008-03-26 11:00:47-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2008-03-19 18:36:26-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2007-04-26 19:20:46-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2007-03-17 14:40:46-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2006-08-25 14:56:49-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2006-05-25 18:07:11-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2005-04-18 15:23:08-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2005-04-12 17:12:28-04:00
FOCUS Report
X-17A-5 [Paper] - FOCUS Report
2004-03-26 14:55:28-05:00
FOCUS Report
X-17A-5 [Paper] - FOCUS Report
2003-03-19 07:49:04-05:00
FOCUS Report
X-17A-5 [Paper] - FOCUS Report
2002-02-26 00:00:00-05:00
FOCUS Report

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