Full text of GUGGENHEIM INVESTOR SERVICES, LLC's X-17A-5 filed 2021-02-22 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ An Indirect Wholly Owned Subsidiary of Guggenheim Capital, LLC # (SEC I.D. No. 8-44742) # STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2020 (With Report of Independent Registered Public Accounting Firm Thereon) {1}------------------------------------------------ | | | OMB APPROVAL | | |---------------------------------------------------------------------------|-----------------------------------------------------------|--------------|----------------------------------------------------------| | | | | OMB Number:<br>3235-0123<br>Expires:<br>October 31, 2023 | | | | | Estimated average burden hours | | | | | per response…………………….12.00 | | | | | I | | | | | -44742 | | | | | | | Information Required of Brokers and Dealers Pursuant to Section 17 of the | FACING PAGE | | | | | Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | | | | | | REPORT FOR THE PERIOD BEGINNING | 01/01/2020 | AND ENDING | 12/31/2020 | | | MM/DD/YY | | MM/DD/YY | | A. | REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | | | | | Guggenheim Investor Services, LLC | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | 330 Madison Avenue | | | | | | (No. and Street) | | | | New York | NY | | 10017 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | Dina DiLorenzo | | | (212) 901-9405 | | | | | (Area Code – Telephone Number) | | B. | ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | KPMG LLP | | | | | | (Name – if individual, state last, first, middle name) | | | | 200 E. Randolph St. | Chicago | IL | 60601 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | x<br>Certified Public Accountant | | | | | Public Accountant | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)* {2}------------------------------------------------ ## **OATH OR AFFIRMATION** I, Dina DiLorenzo, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of Guggenheim Inv…Read the full text as markdown