Full text of GUGGENHEIM FUNDS DISTRIBUTORS, LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition December 31, 2020 (With Report of Independent Registered Public Accounting Firm Thereon) {1}------------------------------------------------ # SECU RITIES AND EXCHANG E. COiVI M ISSION Washingtnn, ll.C. 2t1549 I.JNITS:I}S1'ATTiS ANNUAL AUDITED REPORT FORM X-l7A-5 PART III | OMB APPROVAL | | |-----------------------|--------------------------------| | OMB Number: 3235-0123 | | | Expires: | October 31, 2023 | | | Estimated average burden hours | | | pe r res po n se 12.o4 | SEC FILE NUMBER 8-48842 #### F'ACINGPAGE # Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchnnge Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNINC | O1IO1/20 | AND | | | | | | |-------------------------------------------------------------------------------------------|-----------------------------------------------------------|---------|-------------------------------------------------|--|--|--|--| | | MM/DD1YY | | MMIDDIYY | | | | | | A. REGISTRANT IDENTIF'ICATION | | | | | | | | | NAME OF BROKER-DEALER: Guggenheim Funds Distributors, LLC | OFFICIAL USE ONLY | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | FIRM I,D, NO. | | | | | | | | 227 W l/onroe | | | | | | | | | | (No. and Street) | | | | | | | | Ch | IL | | 60606 | | | | | | (Cityl | (Starei | | (Zip Codc) | | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Abbey Helmetag | | | (312) 357-0303<br>(Area Codc Telephonc Nurnbcr) | | | | | | | B. ACCOUNTANT ID EII{TIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report+<br>KPIVIG LLP | | | | | | | | | | (Namc - iJ inditidtrul, stat? last,.fitst, midtlle nante) | | | | | | | | 200 E. Randolph St. | Chicago<br>lL | | 60601 | | | | | | (Addrcss) | (City) | {State) | (Zip Code) | | | | | | CHECK ONE: | | | | | | | | | E] Certified Public Accountant | | | | | | | | | n Public Accountant | | | | | | | | | fl Accountant not resident in United States or any of its possessions. | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | \*Claims for exemption Jrom the requirement that the a.nnual report he covered bt the opinion of an independent public accountant mustbesupportedbya,statementof.lactsandcircumstanr:esreliedonasthebasisJbrtheexemption. SeeSection2a0.lTa-S(e)(21 > Potential persons who are to respond to the colle…Read the full text as markdown