Capabilities

Sales and Trading


 

Sales

  • Dedicated salespeople across the U.S. provide customized services that leverage their longstanding relationships with hedge funds, mutual funds, and other investors. Our senior professionals are differentiated by their unique understanding of investor mindset and the ability to uncover broader themes impacting our client’s portfolios.
  • Healthcare and consumer dedicated sales specialists with decades of industry experience

Trading

  • High touch offering results in personalized and exceptional client service
  • 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 in an array of market environments 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.