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Investment Adviser Firm Summary
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC ( CRD # 137432/SEC#:801-66786 )
GUGGENHEIM GLOBAL INVESTMENTS, GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC, GUGGENHEIM PARTNERS ASSET MANAGEMENT, LLC, GUGGENHEIM PARTNERS ASSET MANAGEMENT, INC., GUGGENHEIM PARTNERS…
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved6/14/2006
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Alabama3/31/2014
Alaska3/31/2014
Arizona3/31/2014
Arkansas3/31/2014
California3/30/2012
Colorado3/31/2014
Connecticut3/31/2014
Delaware3/31/2014
District of Columbia3/31/2014
Florida3/31/2014
Georgia3/31/2014
Hawaii3/31/2014
Idaho3/31/2014
Illinois7/18/2014
Indiana3/31/2014
Iowa3/31/2014
Kansas3/31/2014
Kentucky3/31/2014
Louisiana3/31/2014
Maine3/31/2014
Maryland3/31/2014
Massachusetts3/31/2014
Michigan3/31/2014
Minnesota3/31/2014
Mississippi3/31/2014
Missouri6/3/2013
Montana3/31/2014
Nebraska3/31/2014
Nevada3/31/2014
New Hampshire3/31/2014
New Jersey4/23/2014
New Mexico6/3/2013
New York3/31/2014
North Carolina3/31/2014
North Dakota3/31/2014
Ohio3/31/2014
Oklahoma3/31/2014
Oregon3/31/2014
Pennsylvania3/31/2014
Puerto Rico3/31/2014
Rhode Island3/31/2014
South Carolina3/31/2014
South Dakota3/31/2014
Tennessee3/31/2014
Texas6/3/2013
Utah3/31/2014
Vermont3/31/2014
Virgin Islands3/31/2014
Virginia3/31/2014
Washington3/31/2014
West Virginia3/31/2014
Wisconsin3/31/2014
Wyoming3/30/2018
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.