Enrico A. Dematt
Professional summary
Enrico Andrew Dematt, who also goes by Enrico A Dematt, Enrico Andrew Dematt, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.
Enrico is registered as a RR (Registered Representative) and started their career in finance in 1993. Enrico has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Enrico Andrew Dematt's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 23, 2019 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017November 14, 2016 - December 6, 2018
BERENBERG CAPITAL MARKETS LLC
April 20, 2015 - June 30, 2016
CRT CAPITAL GROUP LLC
October 22, 2007 - April 20, 2015
STERNE, AGEE & LEACH, INC.
June 3, 2005 - September 27, 2007
CATHAY FINANCIAL INC
January 31, 2003 - June 10, 2004
UBS CAPITAL MARKETS L.P.
September 9, 1999 - December 31, 2002
CREDIT SUISSE SECURITIES (USA) LLC
September 17, 1996 - November 4, 1997
TD SECURITIES (USA) LLC
August 17, 1993 - July 10, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/10/2020)
(4/23/2019)
(1/15/2020)
(2/12/2020)
(4/23/2019)
(4/27/2021)
(4/23/2019)
(4/23/2019)
(9/30/2022)
(8/9/2022)
(4/23/2020)
(11/29/2021)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/6/1999
Limited Representative-Equity Trader ExamFINRA
Investors' Exchange LLC
Nasdaq Stock Market
Current Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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