Thomas M. Matteini
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.
Thomas Michael Matteini, who also goes by Thomas Michael Harrington, Thomaas Michael Matteini, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2003. Thomas had worked at 2 firms and has passed the SIE, Series 55 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
March 3, 2014 - March 6, 2015
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
February 12, 2003 - March 3, 2014
GUGGENHEIM DISTRIBUTORS, LLC
Primary Firm SEC Registration
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
CRD#: 39805 / SEC#: 801-54810, 8-48842
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
Series 55
Date: 3/24/2003
Limited Representative-Equity Trader ExamCurrent Firm
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
CRD#: 39805 / SEC#: 801-54810, 8-48842
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GUGGENHEIM FUNDS SERVICES, LLC | MEMBER | |
| CHAN, YING | FINANCIAL AND OPERATIONS PRINCIPAL | 4956885 |
| COGLIANDRO, DOMINICK NMN | CHIEF OPERATING OFFICER, UNIT INVESTMENT TRUST BUSINESS | 1490945 |
| DILORENZO, DINA MARIE | PRESIDENT OF THE BROKER DEALER, GUGGENHEIM FUNDS DISTRIBUTORS, LLC | 2664787 |
| LEE, AMY JO | GENERAL COUNSEL, SECRETARY, AND SENIOR MANAGING DIRECTOR | 1161869 |
| METZGER, DENNIS RYAN | CHIEF COMPLIANCE OFFICER | 4888899 |
| MILLER, ELISABETH ANN | SENIOR MANAGING DIRECTOR | 4381813 |
| PARISI, CHRISTOPHER VITO | HEAD OF DISTRIBUTION, SENIOR MANAGING DIRECTOR | 2410528 |
Regulatory assets under management
| Total Number of Accounts | 279 |
| AUM (Assets Under Management) | $ 6,850,185,742 |
Red Flags
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