Form D — GUGGENHEIM SECURITIES, LLC

0000929638-26-001510 · filed Apr 15, 2026

Offering amounts describe securities offered; amounts sold are issuer-reported as of each filing. Amendments can repeat earlier amounts. We do not add these figures into a capital-raised total. Missing amounts are not zero. Data coverage and methodology · How to interpret the amounts.

Check this disclosure on SEC EDGAR · More Investment Banking filings

Offering

Industry: Investment Banking
Exemptions: 3C.1, 3C.7, 06b, 3C
Reported offering amount: —
Reported amount sold: $13,200,000
Minimum investment: $0
Investors: —
Sales commission: —
Finders' fees: —

Issuer

Name: GUGGENHEIM SECURITIES, LLC
CIK: 1009953
Entity: Limited Liability Company
Jurisdiction: DELAWARE
Year incorporated: —
Address: 330 MADISON AVENUE
NEW YORK, NY 10017
Phone: 2125189200

Related persons

May not be accurate — issuers self-report this list and the SEC does not verify it. Cross-check the original SEC EDGAR filing if accuracy matters.

n/a Links Holdings LLC · Executive Officer

New York, NY Find on LinkedIn ↗
Tracy Lowery Whille · Executive Officer

NEW YORK, NY Find on LinkedIn ↗
James E. Millstein · Executive Officer

NEW YORK, NY Find on LinkedIn ↗
Alan David Schwartz · Executive Officer

NEW YORK, NY Find on LinkedIn ↗
Andrew Jon Schwartz · Executive Officer

NEW YORK, NY Find on LinkedIn ↗
Kristine M Sirna · Executive Officer

NEW YORK, NY Find on LinkedIn ↗
Susan Tsou · Executive Officer

NEW YORK, NY Find on LinkedIn ↗
Mark Alan Van Lith · Executive Officer

New York, NY Find on LinkedIn ↗

View the original filing on SEC EDGAR ↗