DIFC

Guggenheim Securities LLC

Company Overview

Status of registration:

Dissolved

Business activities:

Advising on Financial Products or Credit

Arranging Credit or Deals in Investments

Registered Number:

384

Registered offices:

Not Available

Company Information

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: DIFC Designated Non-Financial Businesses and Professions

No

Financial Year End:

Data Protection

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.

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List of Jurisdictions to which Personal Data may be transferred:

USA

Former Properties

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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