Data / Form D filings / GUGGENHEIM SECURITIES, LLC
GUGGENHEIM SECURITIES, LLC: Form D filing
GUGGENHEIM SECURITIES, LLC, an investment banking company in New York, NY, filed a Form D with the SEC in 2026. The latest, on April 15, 2026, reports $13.2 million sold of an offering with no set size to 66 investors.
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Company details from the filing
- Address
- 330 MADISON AVENUE 8TH FLOOR, New York, NY, 10017
- Phone
- (212) 518-9200
- Industry
- Investment Banking
- Entity type
- Limited Liability Company
- Incorporated in
- Delaware
- Revenue range
- Decline to Disclose
- Exemptions claimed
- section 3(c)(1), section 3(c)(7), Rule 506(b), Investment Company Act section 3(c)
- SEC identifier (CIK)
- 1009953
Form D filings
| Filed | Type | Offering | Sold | Remaining | Investors | First sale | Filing |
|---|---|---|---|---|---|---|---|
| Apr 15, 2026 | New notice | Indefinite | $13,200,000 | 66 | Apr 1, 2026 | sec.gov |
Executive officers and directors named in the filing
| Name | Role | Note in the filing |
|---|---|---|
| n/a Links Holdings LLC | Executive Officer | Managing Member of the Issuer. |
| Tracy Lowery Whille | Executive Officer | Ms. Lowery Whille is the Chief Compliance Officer of the Issuer. |
| James E. Millstein | Executive Officer | Mr. Millstein is a Co-Chairman of the Issuer. |
| Alan David Schwartz | Executive Officer | Mr. Schwartz is a Co-Chairman of the Issuer. |
| Andrew Jon Schwartz | Executive Officer | Mr. Schwartz is the Chief Financial Officer of the Issuer. |
| Kristine M Sirna | Executive Officer | Ms. Sirna is the Chief Operations Principal & Principal Operations Officer of the Issuer. |
| Susan Tsou | Executive Officer | Ms. Tsou is the FINOP & Principal Financial Officer of the Issuer. |
| Mark Alan Van Lith | Executive Officer | Mr. Van Lith is the Chief Executive Officer of the Issuer. |
Other investment banking companies in New York that filed recently
- GS Finance Corp. $220,805 · Oct 27, 2026
Every Form D from the week of Apr 13, 2026 · All recent filings in New York · All recent Investment Banking filings
Read from SEC EDGAR. Amount sold is what GUGGENHEIM SECURITIES, LLC reported on the day it filed; on an offering that is still open, a later amendment can raise it. Free to reuse with credit to SpecStream under CC BY 4.0.