Full text of GUGGENHEIM INVESTOR SERVICES, LLC's X-17A-5 filed 2022-02-18 (period 2021-12-31). 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, 2021 (With Report of Independent Registered Public Accounting Firm Thereon) {1}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>WASHINGTON, D.C. 20549 | | Expires:<br>October 31, 2023<br>Estimated average burden<br>hours per response:<br>12.00 | |------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------|---------------------------------------|------------------------------------------------------------------------------------------| | | | | SEC FILE NUMBER | | | ANNUAL REPORTS | | | | | FORM X-17A-5 | | 8-44742 | | | PART III | | | | Information Required Pursuant to Section 17a-5, 17a-12 and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | FILING<br>FOR THE PERIOD BEGINNING | 01/01/2021<br>MM/DD/YY | AND ENDING | 12/31/2021<br>MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: | Guggenheim Investor Services, LLC | | OFFICIAL USE ONLY | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-Dealer<br>Security-based swap dealer<br>X | Major security-based swap participant | | ______________<br>FIRM ID. NO. | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>330 Madison Avenue | | | | | | (No. and Street) | | | | New York | New York | | 10017 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT IN REGARD TO THIS FILING | | | | | Dina DiLorenzo | (212) 901-9405 | Dina.DiLorenzo@guggenheimpartners.com | | | (Name) | (Area Code-Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this filing*<br>KPMG LLP | | | | | | (Name – if individual, state last, first, middle name) | | | | 200 E. Randolph St. | Chicago | IL | 60601 | | (Address) | (City) | (State) | (Zip Code) | | 10/20/2003 | | | 185 | | (Date of Registration with PCAOB) (if applicable) | | | (PCAOB Registration<br>Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | | | | | OMB APPROVAL OMB Number: 3235-0123 \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of f…Read the full text as markdown