Capabilities

Sales and Trading


 

Sales

  • Our specialized salespeople provide custom services, leveraging their longstanding relationships with mutual funds, hedge funds, and other investors. Our senior professionals are differentiated by their unique understanding of investor behavior and their ability to uncover underlying themes impacting our client’s portfolios.
  • Our sales specialists have decades of industry experience

Trading

  • High touch offering results in personalized and exceptional client service
  • Low touch offering built on expertise across product and sales with experience from industry leading global banks and agency brokers
  • Team includes position traders and sales traders with more than 20 years experience on average

Options

  • Options trading capabilities and idea generation distributed at the point of execution
  • Team members have diverse industry experience with expertise in evaluating pricing and driving best execution across assets classes

Corporate Access

  • Seasoned team of professionals with deep sector knowledge and relationships dedicated to originating high quality and differentiated corporate access
  • U.S. Corporate Access team comprises dedicated professionals based in New York that manage all non-deal marketing, thought leader meetings, analyst marketing, summits & conferences

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 RULES 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 RULES 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 SEC Rule 605 Monthly Trade Statistics Report for January 2020 through present please click here
To view SEC Rule 606 Disclosure of Order Routing for January 2020 through present please click here

To view SEC Rule 605 Monthly Trade Statistics Report for January 2018 through December 2019 please click here
To view 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.