Full text of GUGGENHEIM FUNDS DISTRIBUTORS, LLC's X-17A-5 filed 2023-02-27 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition December 31, 2022 (With Report of Independent Registered Public Accounting Firm Thereon) {1}------------------------------------------------ ## UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 | | OMB APPROVAL | | | |--------------------------|------------------|--|--| | OMB Number: | 3235-0123 | | | | Expires: | October 31, 2023 | | | | Estimated average burden | | | | | hours per response: | 12.00 | | | | | | | SEC FILE NUMBER | |--|--|--|-----------------| |--|--|--|-----------------| 8-48842 # ANNUAL REPORTS FORM X-17A-5 PART III | Information Required Pursuant to Section 17a-5, 17a-12 and 18a-7 under the Securities Exchange Act of 1934 | | FACING PAGE | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|-----------------------|---------------------------------------|-----------------------------------------------| | FILING FOR THE PERIOD BEGINNING | | 01/01/2022 | AND ENDING | 12/31/2022 | | | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: | Guggenheim Funds Distributors, LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-Dealer<br>Security-based swap dealer<br>X<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | Major security-based swap participant | | | 227 W. Monroe | | | | | | | | (No. and Street) | | | | Chicago | | IL | | 60606 | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT IN REGARD TO THIS FILING | | | | | | Abbey Helmetag | (312) 357-0303 | | | Abbey. Helmetag@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 | | | | | | | | | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of fac…Read the full text as markdown