Name:
Guggenheim Securities LLC
Trading Name:
Guggenheim Capital Markets, LLC
Status of Registration:
Dissolved
Type of License:
Regulated
Legal Structure:
Foreign Recognized Company
Date of Registration:
08 05 2007
Place of Origin:
USA
Date of Dissolution:
10 05 2016
Directors:
Joseph Lodato
Robert Lieberberg
DNFBP:
Designated Non-Financial Businesses and Professions
No
Financial Year End:
Data Protection Officer Appointed:
No
Notifications:
Personal Data Processing Operations:
Yes
Transfer of Personal Data from the DIFC:
No
Processing of Special Categories of Personal Data:
No
Purpose for the Personal Data Processing:
Staff Administration, Office Administration and Compliance
Data Subjects or class of Data Subjects whose Personal Data is being processed:
Staff (Agents, Workers), Other Vendors
Description of the Class of Personal Data being Processed:
For employees: name, address, other contact information, information needed for payroll processing and documents related to emplyment history. For vendors: name, address, other contact information, correspondence and contracts.
List of Jurisdictions to which Personal Data may be transferred:
USA
Name:
Guggenheim Capital Markets LLC until 20 August 2009
Directors:
PAUL MASON FRIEDMAN until 21 April 2015
MATTHEW PISANELLI until 07 October 2015
RONALD IERVOLINO until 10 February 2014
ROBERT HOLMEN until 15 June 2010
GEORGE TILGHMAN until 10 February 2014
JONATHAN MORLEY until 30 May 2011
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