Capabilities

Sales and Trading


 

Seasoned Fixed Income Sales & Trading team, with senior team leaders averaging 20+ years of experience 

  • Fixed Income Salesforce with deep investor connectivity across insurance companies, money managers, hedge funds, banks, pension funds, and family offices, among other credit investors
  • Salesforce skillfully engages in meaningful, substantive investor dialogue focused on specialized product content and proprietary insights
  • Fixed Income Traders with broad capabilities and particular expertise in Structured Products
  • Fixed Income Traders are leading providers of secondary liquidity and market intelligence in Non-Traditional / Esoteric ABS with a particular focus on new / emerging issuers
  • Market leader in Structured Products such as Aircraft, Data Center, Equipment, Small Business Loan, Solar, Tax Lien, Trust Preferred CDOs (TruPS), Unsecured Consumer, Venture Debt, and Whole Business Securitization (WBS)
 

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.