OUR SERVICES

Securities

Our fixed income and equities businesses provide unconflicted sales and trading services to institutional clients.

Sales & Trading

Guggenheim’s sales and trading services are distinguished among our peers by:

Personal Commitment

Our sales and trading professionals provide customized services that leverage their longstanding relationships with investment banks, hedge funds, mutual funds, insurance companies and other financial institutions. Our senior professionals generate innovative solutions and implement strategies to meet our clients’ objectives relating to execution, return optimization and risk management.

Broad Capabilities

We offer sales and trading services relating to a broad array of instruments including, among others, equities, hybrid securities, investment grade debt, high-yield debt, U.S. Treasury and federal agency securities, municipal bonds, asset-backed securities, mortgage-backed securities (residential and commercial), collateralized debt obligations, emerging markets debt, structured notes, insurance-linked securities and repo transactions.

Electronic Execution

We offer a comprehensive, broker-neutral algorithmic trading suite. With real-time configurability and a consultative approach to execution, we deliver unparalleled technology and service. In a complex market once constrained by limited options, we provide choice, transparency, and innovation.

Investment Insights

At Guggenheim we provide our clients with unique and thoughtful investment insights relating to macroeconomic trends, equities and fixed income instruments. Our perspectives are cultivated from the work of our research team and in-house economists, extensive Wall Street relationships, fundamental securities related analysis (e.g. credit analysis, understanding of underlying documentation) and deep expertise relating to industries and companies.

To view sales and trading related disclosures for equities, options and fixed income products, please click here.

Order Execution and Routing Practices

Guggenheim Securities, LLC is required to publish certain information related to order execution and routing practices pursuant to US Securities and Exchange Commission (“SEC”) Rules 605 and 606.

Disclosure of SEC-Required Order Execution Information (SEC Rule 605)

SEC Rule 605 requires that market centers trading National Market System (“NMS”) securities publicly disclose on a monthly basis uniform statistics regarding execution quality for in-scope orders. Please refer to the relevant links below for Guggenheim’s Rule 605 reports.

Disclosure of SEC-Required Order Routing Information (SEC Rule 606)

SEC Rule 606 requires U.S. broker-dealers to publish quarterly reports containing certain order routing statistics for in-scope customer orders in NMS stocks and options. Please refer to the relevant links below for Guggenheim’s Rule 606 reports for both equities and options.

Equities:
To view our SEC Rule 605 Monthly Trade Statistics Report for January 2020 through present, please click here.
To view our SEC Rule 606 Disclosure of Order Routing for January 2020 through present, please click here.

To view our SEC Rule 605 Monthly Trade Statistics Report for January 2018 through December 2019, please click here.
To view our SEC Rule 606 Disclosure of Order Routing for January 2018 through December 2019, please click here.

Options:
To view our SEC Rule 606 Disclosure of Options Order Routing for January 2021 through present please click here.

OUR SERVICES

Securities

Our fixed income and equities businesses provide unconflicted sales and trading services to institutional clients.

Sales & Trading

Personal Commitment

Broad Capabilities

Electronic Execution

Investment Insights

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