Dominick J. Commesso
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dominick James Commesso, who also goes by Dominick J Commesso, was a registered financial professional .
Dominick is a previously registered financial professional and started their career in finance in 1994. Dominick had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2014 - May 6, 2015
GUGGENHEIM SECURITIES, LLC
July 2, 2012 - November 6, 2013
VIRTU AMERICAS LLC
November 21, 2011 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
August 24, 2010 - November 14, 2011
B. RILEY SECURITIES, INC.
April 27, 2009 - August 31, 2010
NATIONAL FINANCIAL SERVICES LLC
February 7, 2008 - February 3, 2009
WELLS FARGO SECURITIES, LLC
March 9, 2005 - January 17, 2008
SUSQUEHANNA FINANCIAL GROUP, LLLP
July 18, 2002 - March 8, 2005
THOMAS WEISEL PARTNERS LLC
March 29, 1999 - July 17, 2002
CREDIT SUISSE SECURITIES (USA) LLC
September 1, 1997 - April 27, 1999
DB ALEX. BROWN LLC
June 25, 1996 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
August 16, 1994 - May 14, 1996
SCHRODER & CO. INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
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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