# GUGGENHEIM SECURITIES, LLC X-17A-5 (2020-02-28) — Broker-dealer annual report

- Company: GUGGENHEIM SECURITIES, LLC
- Form: X-17A-5
- Filed: 2020-02-28
- Period: 2019-12-31
- Accession: 0001009953-20-000002
- CIK: 1009953
- File #: 8-49107
- Material weakness: No
- Auditor: KPMG LLP
- Auditor location: New York, NY
- Contact: Stuart Durnin
- Phone: 212-823-6604
- Signed by: Allan M. Katz (Chief Financial Officer)

Original filing: https://www.sec.gov/Archives/edgar/data/1009953/000100995320000002/guggsecspublicfinal.pdf

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X-17A-5

 0001009953
 XXXXXXXX

 LIVE

 true
 false
 false

 01-01-2019
 12-31-2019
 Broker-dealer
 N

 GUGGENHEIM SECURITIES, LLC

 330 MADISON AVENUE
 8TH FLOOR
 NEW YORK
 NY
 10017

 Stuart Durnin
 212-823-6604

 KPMG LLP

 345 Park Avenue
 New York
 NY
 10154

 Certified Public Accountant

 Allan M. Katz
 GUGGENHEIM SECURITIES, LLC
 02-28-2020
 Allan M. Katz
 Chief Financial Officer
 Y


Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.