Mutual Fund Resource Center

Prospective Shareholder Information

Types of Accounts

You will need to open a Guggenheim Investment shareholder account to make share transactions – buy, sell or exchange shares of the funds. You can find directions on how to open an account in the open an account section of this site. Please complete or download a print application from this site available in the forms and applications area, or request an account application by calling Guggenheim Investment Client Services at 800.820.0888 or 301.296.5100.

The type of application you will need depends on the type of account you want to open. For example, if you are opening a retirement account, such as an IRA, you will need a different application than you would if you were opening a taxable account. When you call Guggenheim Investment to request an account application, be sure to let the Client Services representative know what type of account you want to open to ensure that you receive the correct application.

If you wish to invest in A- or C-class shares, you will need to open an account through a broker or other financial intermediary who will assist you in completing the necessary application. You or your financial intermediary can request an account application by calling Guggenheim Investment Client Services at 800.820.0888 or 301.296.5100.

Investors should consider the investment objectives, risks, charges and expenses of a fund carefully before investing. The fund’s prospectus contains this and other information about the fund. Please read the prospectus carefully before you invest or send money.

Tips to Successfully Complete Your Account Application

  • You must provide each account holder’s Social Security number or tax ID number and date of birth on the application to avoid a delay in processing.
  • Attach a copy of the trust document when establishing a trust account.
  • When establishing an account for your corporation, partnership or self directed retirement plan, please indicate the correct account type to ensure proper tax reporting. For corporations or other business entity accounts, please include a copy of one or more of the following documents: Registered articles of incorporation, government-issued business license, partnership papers, plan documents, or other documentation which verifies the entity and lists authorized individuals.
  • For statutory trust accounts and other legal entity account types (except self-directed retirement plans covered under ERISA) please provide the Certification Regarding Beneficial Owners of Legal Entity Customers form.
  • You must provide a street address (Guggenheim Investment does not accept P.O. boxes, only addresses). If any joint owner has a different address than the account registration, please indicate that address on the application.
  • Be sure to sign the application.

Read a prospectus and summary prospectus (if available) carefully before investing. It contains the investment objective, risks charges, expenses and the other information, which should be considered carefully before investing. To obtain a prospectus and summary prospectus (if available) click here or call 800.820.0888.

Investing involves risk, including the possible loss of principal.

Guggenheim Investments represents the following affiliated investment management businesses of Guggenheim Partners, LLC: Guggenheim Partners Investment Management, LLC, Security Investors, LLC, Guggenheim Funds Distributors, LLC, Guggenheim Funds Investment Advisors, LLC, Guggenheim Corporate Funding, LLC, Guggenheim Partners Europe Limited, Guggenheim Partners Japan Limited, and GS GAMMA Advisors.

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This website is directed to and intended for use by citizens or residents of the United States of America only. The material provided on this website is not intended as a recommendation or as investment advice of any kind, including in connection with rollovers, transfers, and distributions. Such material is not provided in a fiduciary capacity, may not be relied upon for or in connection with the making of investment decisions, and does not constitute a solicitation of an offer to buy or sell securities. All content has been provided for informational or educational purposes only and is not intended to be and should not be construed as legal or tax advice and/or a legal opinion. Always consult a financial, tax and/or legal professional regarding your specific situation. Investing involves risk, including the possible loss of principal.