Guggenheim Securities, LLC
Firm details
- Headquarters
- New York, New York
- CRD number
- 40638
- Registered since
- January 9, 1997
- Website
- www.guggenheimsecurities.com
Firm profile
FINTRXOverview
Guggenheim Securities, LLC is recorded as a limited liability company operating as an investment bank. The firm has been SEC-registered since 1997 and is listed with an owner type described as a domestic entity and individual. FINTRX classifies the organization as an investment bank rather than a capital allocator or registered advisory firm; the record also indicates it does not operate as a multi-state adviser and is not flagged as a pension consultant or related adviser. The profile shows the firm is not identified as an active ESG investor. The FINTRX entry contains limited detail on advisory or client-facing business lines, fee models, or specific investment mandates. The absence of reported advisory activity in the record suggests the entity functions on the investment banking / broker-dealer side of the market rather than as an asset manager aggregating client AUM.
Assets & Accounts
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Owners & executives
3 of 4
Mark Van Lith
Chief Executive OfficerCRD 2263510
Tracy Lowery Whille
Chief Compliance OfficerCRD 2872693

Andrew Schwartz
Chief Financial OfficerCRD 5121914
Contacts
3 of 899
Samit Bhujange
Equity Research AssociateCRD 7179987

Julio Marquez
AnalystCRD 7195560

Blerta Lleku
AssociateCRD 6165772
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXLocation
New York, NY
New York
Location
New York, NY
Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.
- Metro area
- New York-Newark, NY-NJ-CT-PA
- Region
- Northeast
- County
- New York
- Address
- 330 Madison Ave
- Time zone
- ET (UTC-5)
- Office locations
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