Full text of GUGGENHEIM SECURITIES, LLC's X-17A-5 filed 2022-02-25 (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) Consolidated Statement of Financial Condition December 31, 2021 (With Report of Independent Registered Public Accounting Firm Thereon) File in accordance with Rule 17a-5(e)(3) under the Securities Exchange Act of 1934. {1}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>WASHINGTON, D.C. 20549 | | OMB Number:<br>3235-0123<br>Expires:<br>October 31, 2023<br>Estimated average burden<br>hours per response<br>12.00 | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------|---------------------------------------|---------------------------------------------------------------------------------------------------------------------| | | ANNUAL REPORTS<br>FORM X-17A-5<br>PART III | | SEC FILE NUMBER<br>8-49107 | | 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 | 01/01/21<br>MM/DD/YY | AND ENDING | 12/31/21<br>MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: | Guggenheim Securities, LLC | | OFFICIAL USE ONLY | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-Dealer<br>Security-based swap dealer<br>X<br>Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: | (Do not use P.O. Box No.) | Major security-based swap participant | ______________<br>FIRM ID. NO. | | 330 Madison Avenue | (No. and Street) | | | | New York | New York | | 10017 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT IN REGARD TO THIS FILING | | | | | Christopher Paolino | (212) 338-8836 | | Christopher.Paolino@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) | | | | 345 Park Avenue | New York | New York | 10154 | | (Address) | (City) | (State) | (Zip Code) | | 10/20/2003 | | | 185 | | (Date of Registration with PCAOB) (if applicable) | | | (PCAOB Registration<br>Number, if app…Read the full text as markdown