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  5. GUGGENHEIM CAPITAL, LLC

GUGGENHEIM CAPITAL, LLC

Company Details

Entity Name: GUGGENHEIM CAPITAL, LLC
Jurisdiction: Illinois
Entity Type: Limited Liability Company
Status: Goodstanding
Date Formed: 08 Aug 2001
Company Number: LLC_00587834
File Number: 00587834
Type of Management: Manager Managed
Date Status Change: 26 Jul 2024
Address 227 W MONROE ST 49TH FL, CHICAGO, 60606, IL
Place of Formation: DELAWARE

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
EMPLOYEE HEALTH & WELFARE BENEFIT PROGRAM OF GUGGENHEIM CAPITAL, LLC 2020 364358656 2021-10-08 GUGGENHEIM CAPITAL LLC 2245
File View Page
Three-digit plan number (PN) 501
Effective date of plan 2003-01-01
Business code 523900
Sponsor’s telephone number 3128270109
Plan sponsor’s mailing address 227 WEST MONROE STREET, SUITE 4900, CHICAGO, IL, 60606
Plan sponsor’s address 227 WEST MONROE STREET, SUITE 4900, CHICAGO, IL, 60606

Number of participants as of the end of the plan year
Active participants 2141
Retired or separated participants receiving benefits 74
Other retired or separated participants entitled to future benefits 0

Signature of
Role Plan administrator
Date 2021-10-08
Name of individual signing VERAMEL LIM
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2021-10-08
Name of individual signing VERAMEL LIM
Valid signature Filed with authorized/valid electronic signature
EMPLOYEE HEALTH & WELFARE BENEFIT PROGRAM OF GUGGENHEIM CAPITAL, LLC 2019 364358656 2020-07-15 GUGGENHEIM CAPITAL LLC 2249
File View Page
Three-digit plan number (PN) 501
Effective date of plan 2003-01-01
Business code 523900
Sponsor’s telephone number 3128270109
Plan sponsor’s mailing address 227 WEST MONROE STREET, SUITE 4900, CHICAGO, IL, 60606
Plan sponsor’s address 227 WEST MONROE STREET, SUITE 4900, CHICAGO, IL, 60606

Number of participants as of the end of the plan year
Active participants 2179
Retired or separated participants receiving benefits 48
Other retired or separated participants entitled to future benefits 0

Signature of
Role Plan administrator
Date 2020-07-14
Name of individual signing VERAMEL LIM
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2020-07-14
Name of individual signing VERAMEL LIM
Valid signature Filed with authorized/valid electronic signature
EMPLOYEE HEALTH & WELFARE BENEFIT PROGRAM OF GUGGENHEIM CAPITAL, LLC 2018 364358656 2019-07-26 GUGGENHEIM CAPITAL LLC 2201
File View Page
Three-digit plan number (PN) 501
Effective date of plan 2003-01-01
Business code 523900
Sponsor’s telephone number 3128270109
Plan sponsor’s mailing address 227 WEST MONROE STREET, SUITE 4900, CHICAGO, IL, 60606
Plan sponsor’s address 227 WEST MONROE STREET, SUITE 4900, CHICAGO, IL, 60606

Number of participants as of the end of the plan year
Active participants 2200
Retired or separated participants receiving benefits 49

Signature of
Role Plan administrator
Date 2019-07-26
Name of individual signing EMILY CHARDAC
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2019-07-26
Name of individual signing EMILY CHARDAC
Valid signature Filed with authorized/valid electronic signature
EMPLOYEE HEALTH & WELFARE BENEFIT PROGRAM OF GUGGENHEIM CAPITAL, LLC 2017 364358656 2018-10-15 GUGGENHEIM CAPITAL LLC 2140
File View Page
Three-digit plan number (PN) 501
Effective date of plan 2003-01-01
Business code 523900
Sponsor’s telephone number 3128270109
Plan sponsor’s mailing address 227 WEST MONROE STREET, SUITE 4900, CHICAGO, IL, 60606
Plan sponsor’s address 227 WEST MONROE STREET, SUITE 4900, CHICAGO, IL, 60606

Number of participants as of the end of the plan year
Active participants 2091
Retired or separated participants receiving benefits 66
Other retired or separated participants entitled to future benefits 0

Signature of
Role Plan administrator
Date 2018-10-15
Name of individual signing EMILY CHARDAC
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2018-10-15
Name of individual signing EMILY CHARDAC
Valid signature Filed with authorized/valid electronic signature
EMPLOYEE HEALTH & WELFARE BENEFIT PROGRAM OF GUGGENHEIM CAPITAL, LLC 2016 364358656 2017-09-21 GUGGENHEIM CAPITAL, LLC 2231
File View Page
Three-digit plan number (PN) 501
Effective date of plan 2003-01-01
Business code 523900
Sponsor’s telephone number 3128270109
Plan sponsor’s mailing address 227 WEST MONROE STREET, SUITE 4900, CHICAGO, IL, 60606
Plan sponsor’s address 227 WEST MONROE STREET, SUITE 4900, CHICAGO, IL, 60606

Number of participants as of the end of the plan year
Active participants 2193
Retired or separated participants receiving benefits 47

Signature of
Role Plan administrator
Date 2017-09-21
Name of individual signing PATRICK WALTER
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2017-09-21
Name of individual signing PATRICK WALTER
Valid signature Filed with authorized/valid electronic signature
EMPLOYEE HEALTH & WELFARE BENEFIT PROGRAM OF GUGGENHEIM CAPITAL, LLC 2015 364358656 2016-08-01 GUGGENHEIM CAPITAL, LLC 2341
File View Page
Three-digit plan number (PN) 501
Effective date of plan 2003-01-01
Business code 523900
Sponsor’s telephone number 3128270109
Plan sponsor’s mailing address 227 WEST MONROE STREET, SUITE 4900, CHICAGO, IL, 60606
Plan sponsor’s address 227 WEST MONROE STREET, SUITE 4900, CHICAGO, IL, 60606

Number of participants as of the end of the plan year
Active participants 2155
Retired or separated participants receiving benefits 77
Other retired or separated participants entitled to future benefits 68

Signature of
Role Plan administrator
Date 2016-08-01
Name of individual signing EMILY CHARDAC
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2016-08-01
Name of individual signing EMILY CHARDAC
Valid signature Filed with authorized/valid electronic signature
EMPLOYEE HEALTH & WELFARE BENEFIT PROGRAM OF GUGGENHEIM CAPITAL, LLC 2014 364358656 2015-10-15 GUGGENHEIM CAPITAL, LLC 2227
File View Page
Three-digit plan number (PN) 501
Effective date of plan 2003-01-01
Business code 523900
Sponsor’s telephone number 3128270109
Plan sponsor’s mailing address 227 WEST MONROE STREET, SUITE 4900, CHICAGO, IL, 60606
Plan sponsor’s address 227 WEST MONROE STREET, SUITE 4900, CHICAGO, IL, 60606

Number of participants as of the end of the plan year
Active participants 2390
Retired or separated participants receiving benefits 54
Other retired or separated participants entitled to future benefits 19

Signature of
Role Plan administrator
Date 2015-10-15
Name of individual signing PATRICK WALTER
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2015-10-15
Name of individual signing PATRICK WALTER
Valid signature Filed with authorized/valid electronic signature
EMPLOYEE HEALTH & WELFARE BENEFIT PROGRAM OF GUGGENHEIM CAPITAL, LLC 2013 364358656 2014-10-15 GUGGENHEIM CAPITAL, LLC 1851
File View Page
Three-digit plan number (PN) 501
Effective date of plan 2003-01-01
Business code 523900
Sponsor’s telephone number 3128270109
Plan sponsor’s mailing address 227 WEST MONROE STREET, SUITE 4900, CHICAGO, IL, 60606
Plan sponsor’s address 227 WEST MONROE STREET, SUITE 4900, CHICAGO, IL, 60606

Number of participants as of the end of the plan year
Active participants 2177
Retired or separated participants receiving benefits 36
Other retired or separated participants entitled to future benefits 20

Signature of
Role Plan administrator
Date 2014-10-15
Name of individual signing PATRICK WALTER
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2014-10-15
Name of individual signing PATRICK WALTER
Valid signature Filed with authorized/valid electronic signature

Agent

Name and Address Role Appointment Date
UNITED AGENT GROUP INC., 1320 TOWER ROAD, SCHAUMBURG, 60173, COOK-NOT IN CITY OF CHICAGO Agent 2023-10-31

Secretary

Name and Address Role Account Number
ALYSIA KINSELLA Secretary 300735

Managing member

Name and Address Role Account Number
GUGGENHEIM MANAGER, INC Managing member 300735

Asst. secretary

Name and Address Role Account Number
CHRISTOPHER S ANTONOW Asst. secretary 300735

Manager

Name and Address Role Appointment Date
GUGGENHEIM MANAGER, INC., 227 W MONROE ST STE 4900, CHICAGO, IL, 60606 Manager 2024-07-26

License

License Type License Number Status License Code License Description Business Activity Date Issued Effective Date Expiration Date
BUSINESS LICENSE 1678575 Issued 1010 Limited Business License 602 - Administrative Commercial Office 2024-09-05 2024-09-16 2026-09-15

Historical Names

Name Change Date
THE GUGGENHEIM GROUP, LLC 2003-07-10

Related by officers

UNITED AGENT GROUP INC., 1320 TOWER ROAD, SCHAUMBURG, 60173, COOK-NOT IN CITY OF CHICAGO

BRUNSWICK CORPORATION DRW INVESTMENTS L.L.C. THE LIBERTY HAMPSHIRE COMPANY, LLC PRICEWATERHOUSECOOPERS CORPORATE FINANCE LLC GOFEN AND GLOSSBERG, L.L.C. LEXINGTON PARKER CAPITAL COMPANY, L.L.C. DRW SECURITIES, LLC CONCORD MINUTEMEN CAPITAL COMPANY, LLC BAKKT CLEARING, LLC THE LIBERTY HAMPSHIRE CAPITAL COMPANY, LLC

Related by address

227 W MONROE ST 49TH FL, CHICAGO, 60606, IL

THE LIBERTY HAMPSHIRE COMPANY, LLC THE LIBERTY HAMPSHIRE CAPITAL COMPANY, LLC BENNINGTON STARK CAPITAL COMPANY, LLC GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC GIFS CAPITAL COMPANY, LLC KEMPS LANDING CAPITAL COMPANY, LLC GUGGENHEIM SERVICES, LLC RIDGEFIELD FUNDING COMPANY, LLC SARATOGA SPRINGS CAPITAL COMPANY, LLC

Date of last update: 23 Dec 2024

Sources: Illinois Office of the Secretary of State

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