# GUGGENHEIM SECURITIES, LLC — Form D

GUGGENHEIM SECURITIES, LLC of NEW YORK, NY, a company, filed a Form D exempt-offering notice with the SEC on 2026-04-15. $13.2M was reported sold. Industry: Investment Banking.

## Offering

- Filed: 2026-04-15
- Form: D
- Accession: 0000929638-26-001510
- Industry: Investment Banking
- Exemptions: 3C.1,3C.7,06b,3C
- Amount sold: $13.2M
- Investors: 66
- Security types: equity
- Revenue range: Decline to Disclose
- SEC file number: 021-580564

## Issuer

- Name: GUGGENHEIM SECURITIES, LLC
- CIK: 0001009953
- Entity type: Limited Liability Company
- Jurisdiction: DELAWARE
- Address: 330 MADISON AVENUE 8TH FLOOR, NEW YORK, NY, 10017
- Phone: 2125189200

## Officers, directors & promoters (7)

| Name | Role | Location |
| --- | --- | --- |
| Tracy Lowery Whille | Related Person | NEW YORK, NY |
| James E. Millstein | Related Person | NEW YORK, NY |
| Alan David Schwartz | Related Person | NEW YORK, NY |
| Andrew Jon Schwartz | Related Person | NEW YORK, NY |
| Kristine M Sirna | Related Person | NEW YORK, NY |
| Susan Tsou | Related Person | NEW YORK, NY |
| Mark Alan Van Lith | Related Person | New York, NY |

## More

- [CIK 1009953 on SEC EDGAR (source of record)](https://www.sec.gov/cgi-bin/browse-edgar?action=getcompany&CIK=1009953&type=&dateb=&owner=include&count=40)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/formd/0000929638-26-001510.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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