Sergio Emiliano Guerrero Mr.
Professional Summary
Sergio Emiliano Guerrero MR. is a registered financial advisor currently at AMERANT INVESTMENTS, INC. located in Coral Gables, Florida. Sergio is registered as a RR (Registered Representative) and started their career in finance in 2009. Sergio has worked at 1 firm and has passed the Series 66, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
17 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
AMERANT INVESTMENTS, INC. | MERCANTIL INVESTMENT SERVICES, INC. | MERCANTIL INVESTMENT SERVICES | MERCANTIL COMMERCEBANK INVESTMENT SERVICES | MERCANTIL COMMERCEBANK INVESTEMENT SERVICES, INC. | COMMERCEBANK INVESTMENTS SERVICES, INC. | COMMERCEBANK INVESTMENT SERVICES, INC. | COMMERCEBANK INVESTMENT SERVICES, INC
Contact Information
Main Address
220 Alhambra Circle 2nd Floor, Coral Gables, FL 33134Mailing Address
220 Alhambra Circle 2nd Floor, Coral Gables, FL 33134Phone Number
(305) 460-8599Established
Delaware since 07/24/2001Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
35SEC notice filing (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
FINRA licenses (13 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERANT BANK, N.A. | SHAREHOLDER | — |
| CALDERON YEPEZ, SHARYMAR EGLLEE | DIRECTOR | 7809045 |
| EELMAN, ANTHONY JOSEPH | DIRECTOR | 8355557 |
| GUERRERO, SERGIO EMILIANO MR. | COO & FINOP | 5718350 |
| IAFIGLIOLA, CARLOS | DIRECTOR | 7285620 |
| LUCAS, EMERIS DEL VALLE | BRANCH MANAGER | 5193416 |
| PARRA, PEDRO RAUL | DIRECTOR | 6549038 |
| RESTREPO, JOSE VICENTE | CCO | 6148942 |
| SANCHEZ, MARIOLA TRIANA | DIRECTOR | 8350060 |
| TIRADO CAMACHO, YECIMAR NMN | DIRECTOR | 8348951 |
Regulatory Assets Under Management
Total Number of Accounts
1,296AUM (Assets Under Management)
$782,386,060Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
AMERANT INVESTMENTS, INC. | MERCANTIL INVESTMENT SERVICES, INC. | MERCANTIL INVESTMENT SERVICES | MERCANTIL COMMERCEBANK INVESTMENT SERVICES | MERCANTIL COMMERCEBANK INVESTEMENT SERVICES, INC. | COMMERCEBANK INVESTMENTS SERVICES, INC. | COMMERCEBANK INVESTMENT SERVICES, INC. | COMMERCEBANK INVESTMENT SERVICES, INC
State Registrations and Notice Filings
(10/14/2009)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Sergio Emiliano Guerrero MR.'s CRS (Customer Relationship Summary).
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