GUGGENHEIM SECURITIES, LLC

SEC CIK 0001009953

CIK #1009953

The following is an index of Security and Exchange Commission registration information for GUGGENHEIM SECURITIES, LLC. This page includes all SEC filing details as well as a list of any documents registered by GUGGENHEIM SECURITIES, LLC.
Latest Edgar Filing Status
Updated2019-03-21
TypeBROKER-DEALER
IRS Number (EIN/SSN)522144448 ( EIN # 52-2144448)
Reporting File Number008-49107
Mailing Address330 MADISON AVENUE 8TH FLOOR NEW YORK, NEW YORK 10017
StateDELAWARE
Contact Phone212-518-9915
Fiscal Year End Date1231
Filings
Title
Date
Description
MA-A - Annual Update of Munipal Advisor Registration for Business Entities
2019-04-08 07:52:55-04:00
MA-A
MA-I/A [Amend] - Application for Municipal Advisor Registration for Natural Persons
2019-03-18 08:24:56-04:00
MA-I/A [Amend]
X-17A-5 - FOCUS Report
2019-03-04 13:03:33-05:00
FOCUS Report
MA/A [Amend] - Municipal Advisor Registration for Business Entities
2019-02-20 15:24:27-05:00
MA/A [Amend]
MA - Municipal Advisor Registration for Business Entities
2018-09-26 12:15:36-04:00
MA
MA-I/A [Amend] - Application for Municipal Advisor Registration for Natural Persons
2018-09-26 12:25:11-04:00
MA-I/A [Amend]
MA-I - Application for Municipal Advisor Registration for Natural Persons
2018-09-26 12:25:00-04:00
MA-I
MA-I - Application for Municipal Advisor Registration for Natural Persons
2018-09-26 12:25:49-04:00
MA-I
MA-I - Application for Municipal Advisor Registration for Natural Persons
2018-09-26 12:25:37-04:00
MA-I
MA-I - Application for Municipal Advisor Registration for Natural Persons
2018-09-26 12:25:27-04:00
MA-I
MA-I - Application for Municipal Advisor Registration for Natural Persons
2018-09-18 14:01:03-04:00
MA-I
X-17A-5 - FOCUS Report
2018-03-01 18:14:44-05:00
FOCUS Report
X-17A-5 - FOCUS Report
2017-03-01 12:34:58-05:00
FOCUS Report
X-17A-5 - FOCUS Report
2017-02-17 14:04:29-05:00
FOCUS Report
MA-W - Notice of Withdrawal from Registration as a Municipal Advisor
2015-12-16 12:04:21-05:00
MA-W
MA-I/A [Amend] - Application for Municipal Advisor Registration for Natural Persons
2015-12-11 19:00:19-05:00
MA-I/A [Amend]
MA/A [Amend] - Municipal Advisor Registration for Business Entities
2015-11-02 13:05:06-05:00
MA/A [Amend]
MA-I/A [Amend] - Application for Municipal Advisor Registration for Natural Persons
2015-09-30 20:10:29-04:00
MA-I/A [Amend]
MA/A [Amend] - Municipal Advisor Registration for Business Entities
2015-08-21 15:49:01-04:00
MA/A [Amend]
MA-A - Annual Update of Munipal Advisor Registration for Business Entities
2015-05-04 17:05:26-04:00
MA-A
MA-I/A [Amend] - Application for Municipal Advisor Registration for Natural Persons
2015-03-26 09:54:47-04:00
MA-I/A [Amend]
MA-I/A [Amend] - Application for Municipal Advisor Registration for Natural Persons
2015-03-26 09:54:04-04:00
MA-I/A [Amend]
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2015-03-21 10:28:07-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2015-03-16 16:38:48-04:00
FOCUS Report
MA-I - Application for Municipal Advisor Registration for Natural Persons
2014-12-19 15:35:39-05:00
MA-I
MA-I - Application for Municipal Advisor Registration for Natural Persons
2014-12-19 15:35:31-05:00
MA-I
MA-I - Application for Municipal Advisor Registration for Natural Persons
2014-12-19 15:35:23-05:00
MA-I
MA-I - Application for Municipal Advisor Registration for Natural Persons
2014-12-19 15:35:15-05:00
MA-I
MA - Municipal Advisor Registration for Business Entities
2014-12-19 15:24:23-05:00
MA
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2014-04-14 12:48:13-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2014-03-25 12:13:59-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2013-03-22 19:24:14-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2013-03-09 18:52:57-05:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2012-04-11 12:43:31-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2012-04-05 12:29:00-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2011-04-07 10:59:15-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2011-03-30 11:16:39-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2010-03-23 15:30:57-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2010-03-23 15:22:39-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2009-08-25 11:57:34-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2009-08-25 11:56:35-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2008-03-21 17:31:56-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2008-03-17 17:11:18-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2007-03-15 10:09:02-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2007-03-14 08:33:44-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2006-07-08 13:21:38-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2006-06-12 17:56:07-04:00
FOCUS Report
X-17A-5 [Paper] - FOCUS Report
2005-05-02 15:24:28-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2005-04-28 15:26:53-04:00
FOCUSN [Paper]
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2004-04-06 16:11:27-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2004-03-23 20:03:27-05:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2003-04-08 10:41:27-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2003-03-20 17:19:29-05:00
FOCUS Report
X-17A-5 [Paper] - FOCUS Report
2002-03-04 00:00:00-05:00
FOCUS Report

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