Full text of GUGGENHEIM FUNDS DISTRIBUTORS, LLC's X-17A-5 filed 2024-02-28 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition December 31, 2023 (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: | November 30, 2026 | | | Estimated average burden | | | | hours per response: | 12.00 | | | | | | SEC FILE NUMBER | | | FORM X-17A-5 | | | |------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------|----------------------------------------|-----------------------------------------------| | | PART III | | 8-48842 | | | | | | | | RACING PAGE | | | | | Information Required Pursuant to Section 17a-5, 17a-12 and 18a-7 under the Securities Exchange Act of 1934 | | | | FILING FOR THE PERIOD BEGINNING | 01/01/2023 | AND ENDING | 12/31/2023 | | | 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 | | Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | 227 W. Monroe | (No. and Street) | | | | Chicago | 11 | | 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) | \* 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 facts and circumstances relied on as the basis of the exemption. See 17 acres and climit if applicable. FOR OFFICIAL USE ONLY Persons who are to respond…Read the full text as markdown