0000929638-26-001510.txt : 20260415 0000929638-26-001510.hdr.sgml : 20260415 20260415141314 ACCESSION NUMBER: 0000929638-26-001510 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: Rule 506(b) provides a "safer harbor" for a private offering ITEM INFORMATION: Investment Company Act Section 3(c) ITEM INFORMATION: Section 3(c)(1) ITEM INFORMATION: Section 3(c)(7) FILED AS OF DATE: 20260415 DATE AS OF CHANGE: 20260415 EFFECTIVENESS DATE: 20260415 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GUGGENHEIM SECURITIES, LLC CENTRAL INDEX KEY: 0001009953 ORGANIZATION NAME: EIN: 522144448 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-580564 FILM NUMBER: 26863665 BUSINESS ADDRESS: STREET 1: 330 MADISON AVENUE STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212 518 9542 MAIL ADDRESS: STREET 1: 330 MADISON AVENUE STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: GUGGENHEIM CAPITAL MARKETS, LLC DATE OF NAME CHANGE: 20090731 FORMER COMPANY: FORMER CONFORMED NAME: GUGGENHEIM SECURITIES, LLC DATE OF NAME CHANGE: 20090722 FORMER COMPANY: FORMER CONFORMED NAME: GUGGENHEIM CAPITAL MARKETS, LLC DATE OF NAME CHANGE: 20040311 D 1 primary_doc.xml X0708 D LIVE 0001009953 GUGGENHEIM SECURITIES, LLC 330 MADISON AVENUE 8TH FLOOR NEW YORK NY NEW YORK 10017 2125189200 DELAWARE None GUGGENHEIM CAPITAL MARKETS, LLC GUGGENHEIM SECURITIES, LLC LINKS SECURITIES LLC Limited Liability Company true n/a Links Holdings LLC 330 Madison Avenue New York NY NEW YORK 10017 Executive Officer Managing Member of the Issuer. Tracy Lowery Whille 330 Madison Avenue 8th Floor NEW YORK NY NEW YORK 10017 Executive Officer Ms. Lowery Whille is the Chief Compliance Officer of the Issuer. James E. Millstein 330 Madison Avenue 8th Floor NEW YORK NY NEW YORK 10017 Executive Officer Mr. Millstein is a Co-Chairman of the Issuer. Alan David Schwartz 330 Madison Avenue 8th Floor NEW YORK NY NEW YORK 10017 Executive Officer Mr. Schwartz is a Co-Chairman of the Issuer. Andrew Jon Schwartz 330 Madison Avenue 8th Floor NEW YORK NY NEW YORK 10017 Executive Officer Mr. Schwartz is the Chief Financial Officer of the Issuer. Kristine M Sirna 330 Madison Avenue 8th Floor NEW YORK NY NEW YORK 10017 Executive Officer Ms. Sirna is the Chief Operations Principal & Principal Operations Officer of the Issuer. Susan Tsou 330 Madison Avenue 8th Floor NEW YORK NY NEW YORK 10017 Executive Officer Ms. Tsou is the FINOP & Principal Financial Officer of the Issuer. Mark Alan Van Lith 330 Madison Avenue 8th Floor New York NY NEW YORK 10017 Executive Officer Mr. Van Lith is the Chief Executive Officer of the Issuer. Investment Banking Decline to Disclose 3C.1 3C.7 06b 3C false 2026-04-01 true true false 0 Indefinite 13200000 Indefinite false 66 0 0 0 false GUGGENHEIM SECURITIES, LLC Andrew J. Schwartz Andrew J. Schwartz Chief Financial Officer 2026-04-14