Form D · Investment Banking
GUGGENHEIM SECURITIES, LLC
New York, NY · CIK 0001009953
Offering snapshot reported Apr 15, 2026 · SEC filing
- Reported sold
- $13.2M Indefinite offering
- Investors reported
- 66 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Apr 1, 2026 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Apr 15, 2026 | Initial | $13,200,000 | No comparison | 66 | SEC filing |
Offering details
- Securities
- Equity
- Exemptions
- 3C.1, 3C.7, 06b, 3C
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-580564
Source: Form D, filed Apr 15, 2026. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No matching detailed fund disclosure was found in the latest imported ADV filings. This does not establish that the issuer has no adviser.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| N/A Links Holdings Llc | Executive |
| Tracy Lowery Whille | Executive |
| James E. Millstein | Executive |
| Alan David Schwartz | Executive |
| Andrew Jon Schwartz | Executive |
| Kristine M Sirna | Executive |
| Susan Tsou | Executive |
| Mark Alan Van Lith | Executive |
Issuer details
Industry: Investment Banking (See others in industry)
Address:
330 Madison Avenue 8 Th Floor
New York, NY, 10017
Phone: 2125189200
New York, NY, 10017
Phone: 2125189200