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Sales & Trading

Our fixed income and equities businesses provide unconflicted sales and trading services to institutional clients. We offer an extraordinarily high level of personal commitment along with an efficient trading platform.

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 trading-related disclosures, please click here.
To view our SEC Rule 605 Monthly Trade Statistics Report and SEC Rule 606 Disclosure of Order Routing through March 2015, please click here.
To view our SEC Rule 605 Monthly Trade Statistics Report for April 2015 and beyond, please click here.
To view our SEC Rule 606 Disclosure of Order Routing for April 2015 and beyond, please click here.

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