GUGGENHEIM GLOBAL TRADING, LLC
CRD #158012 SEC #801-72551 PURCHASE, NY 914-251-8100
SEC Registered Private Funds
Total AUM
$250M
Discretionary
$250M
Employees
11
Clients
--
Accounts
4
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 9, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BUXBAUM, JULES, MORRIS | I | CHIEF RISK OFFICER | NA | Control |
| BUXBAUM, JULES, MORRIS | I | CHIEF RISK OFFICER | NA | Control |
| BUXBAUM, JULES, MORRIS | I | CHIEF RISK OFFICER | NA | Control |
| BUXBAUM, JULES, MORRIS | I | CHIEF RISK OFFICER | NA | Control |
| BUXBAUM, JULES, MORRIS | I | CHIEF RISK OFFICER | NA | Control |
| BUXBAUM, JULES, MORRIS | I | CHIEF RISK OFFICER | NA | Control |
| BUXBAUM, JULES, MORRIS | I | CHIEF RISK OFFICER | NA | Control |
| BUXBAUM, JULES, MORRIS | I | CHIEF RISK OFFICER | NA | Control |
| BUXBAUM, JULES, MORRIS | I | CHIEF RISK OFFICER | NA | Control |
| BUXBAUM, JULES, MORRIS | I | CHIEF RISK OFFICER | NA | Control |
| BUXBAUM, JULES, MORRIS | I | CHIEF RISK OFFICER | NA | Control |
| CARRIERI, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CARRIERI, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CARRIERI, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CARRIERI, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CARRIERI, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CARRIERI, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CARRIERI, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CARRIERI, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CARRIERI, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CARRIERI, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CARRIERI, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, PATRICK, THOMAS | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| HUGHES, PATRICK, THOMAS | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| HUGHES, PATRICK, THOMAS | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| HUGHES, PATRICK, THOMAS | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| HUGHES, PATRICK, THOMAS | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| HUGHES, PATRICK, THOMAS | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| HUGHES, PATRICK, THOMAS | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| HUGHES, PATRICK, THOMAS | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| HUGHES, PATRICK, THOMAS | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| HUGHES, PATRICK, THOMAS | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| HUGHES, PATRICK, THOMAS | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| KATZOVITZ, LOREN, MARK | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| KATZOVITZ, LOREN, MARK | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| KATZOVITZ, LOREN, MARK | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| KATZOVITZ, LOREN, MARK | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| KATZOVITZ, LOREN, MARK | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| KATZOVITZ, LOREN, MARK | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| KATZOVITZ, LOREN, MARK | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| KATZOVITZ, LOREN, MARK | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| KATZOVITZ, LOREN, MARK | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| KATZOVITZ, LOREN, MARK | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| KATZOVITZ, LOREN, MARK | I | MANAGING PARTNER/CO-HEAD | NA | Control |
| WORLEY, DAVID, CLARK | I | GENERAL COUNSEL | NA | Control |
| WORLEY, DAVID, CLARK | I | GENERAL COUNSEL | NA | Control |
| WORLEY, DAVID, CLARK | I | GENERAL COUNSEL (GUGGENHEIM GLOBAL TRADING, LLC) | NA | Control |
| WORLEY, DAVID, CLARK | I | DIRECTOR (GUGGENHEIM GGT (SWISS) GMBH) | NA | Control |
| WORLEY, DAVID, CLARK | I | GENERAL COUNSEL (GUGGENHEIM GLOBAL TRADING, LLC) | NA | Control |
| WORLEY, DAVID, CLARK | I | DIRECTOR (GUGGENHEIM GGT (SWISS) GMBH) | NA | Control |
| WORLEY, DAVID, CLARK | I | GENERAL COUNSEL | NA | Control |
| WORLEY, DAVID, CLARK | I | GENERAL COUNSEL | NA | Control |
| WORLEY, DAVID, CLARK | I | GENERAL COUNSEL | NA | Control |
| WORLEY, DAVID, CLARK | I | GENERAL COUNSEL | NA | Control |
| WORLEY, DAVID, CLARK | I | GENERAL COUNSEL | NA | Control |
| WORLEY, DAVID, CLARK | I | GENERAL COUNSEL (GUGGENHEIM GLOBAL TRADING, LLC) | NA | Control |
| WORLEY, DAVID, CLARK | I | DIRECTOR (GUGGENHEIM GGT (SWISS) GMBH) | NA | Control |
| WORLEY, DAVID, CLARK | I | GENERAL COUNSEL | NA | Control |
| WYNN, THOMAS, LOOR | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WYNN, THOMAS, LOOR | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WYNN, THOMAS, LOOR | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WYNN, THOMAS, LOOR | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WYNN, THOMAS, LOOR | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WYNN, THOMAS, LOOR | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WYNN, THOMAS, LOOR | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WYNN, THOMAS, LOOR | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WYNN, THOMAS, LOOR | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WYNN, THOMAS, LOOR | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WYNN, THOMAS, LOOR | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GUGGENHEIM GLOBAL TRADING, LLC | DE | SOLE OWNER OF GUGGENHEIM GGT (SWISS) GMBH | E | Control |
| GUGGENHEIM GLOBAL TRADING, LLC | DE | SOLE OWNER OF GUGGENHEIM GGT (SWISS) GMBH | E | Control |
| GUGGENHEIM GLOBAL TRADING, LLC | DE | SOLE OWNER OF GUGGENHEIM GGT (SWISS) GMBH | E | Control |
| GUGGENHEIM MANAGER HOLDCO, LLC | DE | MEMBER | E | Control |
| GUGGENHEIM MANAGER HOLDCO, LLC | DE | MEMBER | E | Control |
| GUGGENHEIM MANAGER HOLDCO, LLC | DE | MEMBER | E | Control |
| GUGGENHEIM MANAGER HOLDCO, LLC | DE | MEMBER | E | Control |
| GUGGENHEIM MANAGER HOLDCO, LLC | DE | MEMBER | E | Control |
| GUGGENHEIM MANAGER HOLDCO, LLC | DE | MEMBER | E | Control |
| GUGGENHEIM MANAGER HOLDCO, LLC | DE | MEMBER | E | Control |
| GUGGENHEIM MANAGER HOLDCO, LLC | DE | MEMBER | E | Control |
| GUGGENHEIM MANAGER HOLDCO, LLC | DE | MEMBER | E | Control |
| GUGGENHEIM MANAGER HOLDCO, LLC | DE | MEMBER | E | Control |
| GUGGENHEIM PARTNERS, LLC | DE | MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| GREATBANC TRUST COMPANY, TRUSTEE | DE | SAMMONS ENTERPRISES, INC. ESOT | F | Control |
| GREATBANC TRUST COMPANY, TRUSTEE | DE | SAMMONS ENTERPRISES, INC. ESOT | F | Control |
| GREATBANC TRUST COMPANY, TRUSTEE | DE | SAMMONS ENTERPRISES, INC. ESOT | F | Control |
| GREATBANC TRUST COMPANY, TRUSTEE | DE | SAMMONS ENTERPRISES, INC. ESOT | F | Control |
| GREATBANC TRUST COMPANY, TRUSTEE | DE | SAMMONS ENTERPRISES, INC. ESOT | F | Control |
| GREATBANC TRUST COMPANY, TRUSTEE | DE | SAMMONS ENTERPRISES, INC. ESOT | F | Control |
| GREATBANC TRUST COMPANY, TRUSTEE | DE | SAMMONS ENTERPRISES, INC. ESOT | F | Control |
| GUGGENHEIM MANAGER, INC. | DE | GUGGENHEIM MANAGER HOLDCO, LLC | F | Control |
| GUGGENHEIM MANAGER, INC. | DE | GUGGENHEIM MANAGER HOLDCO, LLC | F | Control |
| GUGGENHEIM MANAGER, INC. | DE | GUGGENHEIM MANAGER HOLDCO, LLC | F | Control |
| CONSOLIDATED INVESTMENT SERVICES, INC. | DE | SAGE ASSETS, INC. | E | Control |
| CONSOLIDATED INVESTMENT SERVICES, INC. | DE | SAMMONS EQUITY ALLIANCE, INC. | E | Control |
| CONSOLIDATED INVESTMENT SERVICES, INC. | DE | SAMMONS EQUITY ALLIANCE, INC. | E | Control |
| CONSOLIDATED INVESTMENT SERVICES, INC. | DE | SAMMONS EQUITY ALLIANCE, INC. | E | Control |
| CONSOLIDATED INVESTMENT SERVICES, INC. | DE | SAMMONS EQUITY ALLIANCE, INC. | E | Control |
| CONSOLIDATED INVESTMENT SERVICES, INC. | DE | SAMMONS EQUITY ALLIANCE, INC. | E | Control |
| CONSOLIDATED INVESTMENT SERVICES, INC. | DE | SAMMONS EQUITY ALLIANCE, INC. | E | Control |
| CONSOLIDATED INVESTMENT SERVICES, INC. | DE | SAGE ASSETS, INC. | E | Control |
| CONSOLIDATED INVESTMENT SERVICES, INC. | DE | SAMMONS EQUITY ALLIANCE, INC. | E | Control |
| CONSOLIDATED INVESTMENT SERVICES, INC. | DE | SAMMONS EQUITY ALLIANCE, INC. | E | Control |
| CONSOLIDATED INVESTMENT SERVICES, INC. | DE | SAMMONS EQUITY ALLIANCE, INC. | E | Control |
| GUGGENHEIM CAPITAL, LLC | DE | GUGGENHEIM PARTNERS, LLC | E | Control |
| GUGGENHEIM CAPITAL, LLC | DE | GUGGENHEIM PARTNERS, LLC | E | Control |
| GUGGENHEIM CAPITAL, LLC | DE | GUGGENHEIM PARTNERS, LLC | E | Control |
| GUGGENHEIM CAPITAL, LLC | DE | GUGGENHEIM MANAGER, INC. | E | Control |
| GUGGENHEIM CAPITAL, LLC | DE | GUGGENHEIM PARTNERS, LLC | E | Control |
| GUGGENHEIM CAPITAL, LLC | DE | GUGGENHEIM MANAGER, INC. | E | Control |
| GUGGENHEIM CAPITAL, LLC | DE | GUGGENHEIM PARTNERS, LLC | E | Control |
| GUGGENHEIM CAPITAL, LLC | DE | GUGGENHEIM PARTNERS, LLC | E | Control |
| GUGGENHEIM CAPITAL, LLC | DE | GUGGENHEIM PARTNERS, LLC | E | Control |
| GUGGENHEIM CAPITAL, LLC | DE | GUGGENHEIM PARTNERS, LLC | E | Control |
| GUGGENHEIM CAPITAL, LLC | DE | GUGGENHEIM PARTNERS, LLC | E | Control |
| GUGGENHEIM CAPITAL, LLC | DE | GUGGENHEIM PARTNERS, LLC | E | Control |
| GUGGENHEIM CAPITAL, LLC | DE | GUGGENHEIM MANAGER, INC. | E | Control |
| GUGGENHEIM CAPITAL, LLC | DE | GUGGENHEIM PARTNERS, LLC | E | Control |
| GUGGENHEIM PARTNERS, LLC | DE | GUGGENHEIM MANAGER HOLDCO, LLC | E | Control |
| GUGGENHEIM PARTNERS, LLC | DE | GUGGENHEIM MANAGER HOLDCO, LLC | E | Control |
| GUGGENHEIM PARTNERS, LLC | DE | GUGGENHEIM MANAGER HOLDCO, LLC | E | Control |
| GUGGENHEIM PARTNERS, LLC | DE | GUGGENHEIM MANAGER HOLDCO, LLC | E | Control |
| GUGGENHEIM PARTNERS, LLC | DE | GUGGENHEIM MANAGER HOLDCO, LLC | E | Control |
| GUGGENHEIM PARTNERS, LLC | DE | GUGGENHEIM MANAGER HOLDCO, LLC | E | Control |
| GUGGENHEIM PARTNERS, LLC | DE | GUGGENHEIM MANAGER HOLDCO, LLC | E | Control |
| GUGGENHEIM PARTNERS, LLC | DE | GUGGENHEIM MANAGER HOLDCO, LLC | E | Control |
| GUGGENHEIM PARTNERS, LLC | DE | GUGGENHEIM MANAGER HOLDCO, LLC | E | Control |
| GUGGENHEIM PARTNERS, LLC | DE | GUGGENHEIM MANAGER HOLDCO, LLC | E | Control |
| SAMMONS ENTERPRISES, INC. | DE | CONSOLIDATED INVESTMENT SERVICES, INC. | E | |
| SAMMONS ENTERPRISES, INC. | DE | CONSOLIDATED INVESTMENT SERVICES, INC. | E | Control |
| SAMMONS ENTERPRISES, INC. | DE | CONSOLIDATED INVESTMENT SERVICES, INC. | E | Control |
| SAMMONS ENTERPRISES, INC. | DE | CONSOLIDATED INVESTMENT SERVICES, INC. | E | Control |
| SAMMONS ENTERPRISES, INC. | DE | CONSOLIDATED INVESTMENT SERVICES, INC. | E | Control |
| SAMMONS ENTERPRISES, INC. | DE | CONSOLIDATED INVESTMENT SERVICES, INC. | E | Control |
| SAMMONS ENTERPRISES, INC. | DE | CONSOLIDATED INVESTMENT SERVICES, INC. | E | Control |
| SAMMONS ENTERPRISES, INC. | DE | CONSOLIDATED INVESTMENT SERVICES, INC. | E | Control |
| SAMMONS ENTERPRISES, INC. | DE | CONSOLIDATED INVESTMENT SERVICES, INC. | E | Control |
| SAMMONS ENTERPRISES, INC. | DE | CONSOLIDATED INVESTMENT SERVICES, INC. | E | Control |
| SAMMONS ENTERPRISES, INC. | DE | CONSOLIDATED INVESTMENT SERVICES, INC. | E | Control |
| SAMMONS ENTERPRISES, INC. ESOT | DE | SAMMONS ENTERPRISES, INC. | E | |
| SAMMONS ENTERPRISES, INC. ESOT | DE | SAMMONS ENTERPRISES, INC. | E | Control |
| SAMMONS ENTERPRISES, INC. ESOT | DE | SAMMONS ENTERPRISES, INC. | E | Control |
| SAMMONS ENTERPRISES, INC. ESOT | DE | SAMMONS ENTERPRISES, INC. | E | Control |
| SAMMONS ENTERPRISES, INC. ESOT | DE | SAMMONS ENTERPRISES, INC. | E | Control |
| SAMMONS ENTERPRISES, INC. ESOT | DE | SAMMONS ENTERPRISES, INC. | E | Control |
| SAMMONS ENTERPRISES, INC. ESOT | DE | SAMMONS ENTERPRISES, INC. | E | Control |
| SAMMONS ENTERPRISES, INC. ESOT | DE | SAMMONS ENTERPRISES, INC. | E | Control |
| SAMMONS ENTERPRISES, INC. ESOT | DE | SAMMONS ENTERPRISES, INC. | E | Control |
| SAMMONS ENTERPRISES, INC. ESOT | DE | SAMMONS ENTERPRISES, INC. | E | Control |
| SAMMONS ENTERPRISES, INC. ESOT | DE | SAMMONS ENTERPRISES, INC. | E | Control |
| SAMMONS EQUITY ALLIANCE, INC. | DE | SAGE ASSETS, INC. | E | Control |
| SAMMONS EQUITY ALLIANCE, INC. | DE | SAGE ASSETS, INC. | E | Control |
| SAMMONS EQUITY ALLIANCE, INC. | DE | SAGE ASSETS, INC. | E | Control |
| SAMMONS EQUITY ALLIANCE, INC. | DE | SAGE ASSETS, INC. | E | Control |
| SAMMONS EQUITY ALLIANCE, INC. | DE | SAGE ASSETS, INC. | E | Control |
| SAMMONS EQUITY ALLIANCE, INC. | DE | SAGE ASSETS, INC. | E | Control |
| SAMMONS EQUITY ALLIANCE, INC. | DE | SAGE ASSETS, INC. | E | Control |
| SAMMONS EQUITY ALLIANCE, INC. | DE | SAGE ASSETS, INC. | E | Control |
| SAMMONS EQUITY ALLIANCE, INC. | DE | SAGE ASSETS, INC. | E | Control |
| SAGE ASSETS, INC | DE | GUGGENHEIM CAPITAL, LLC | C | Control |
| SAGE ASSETS, INC | DE | GUGGENHEIM CAPITAL, LLC | C | Control |
| SAGE ASSETS, INC | DE | GUGGENHEIM CAPITAL, LLC | C | Control |
| SAGE ASSETS, INC | DE | GUGGENHEIM CAPITAL, LLC | C | Control |
| SAGE ASSETS, INC | DE | GUGGENHEIM CAPITAL, LLC | C | Control |
| SAGE ASSETS, INC | DE | GUGGENHEIM CAPITAL, LLC | C | Control |
| SAGE ASSETS, INC | DE | GUGGENHEIM CAPITAL, LLC | C | Control |
| SAGE ASSETS, INC | DE | GUGGENHEIM CAPITAL, LLC | C | Control |
| SAGE ASSETS, INC | DE | GUGGENHEIM CAPITAL, LLC | C | Control |
| SAGE ASSETS, INC | DE | GUGGENHEIM CAPITAL, LLC | C | Control |
| SAGE ASSETS, INC | DE | GUGGENHEIM CAPITAL, LLC | C | Control |
Registrations
Federal
IA
May 9, 2012 REGISTERED
Notice Filings (3)
CA IL MA
Address
4 MANHATTANVILLE ROADPURCHASE, NY 10577
United States
Phone: 914-251-8100