Douglas F. Guerin
Professional summary
Douglas Francis Guerin is a registered financial professional currently at SOUTHEAST INVESTMENTS, N.C., INC. located in Overland Park, Kansas.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1983. Douglas has worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas Francis Guerin's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 4, 2014 - Present
SOUTHEAST INVESTMENTS, N.C., INC.
March 5, 2009 - April 16, 2014
QUESTAR CAPITAL CORPORATION
June 11, 1999 - December 23, 2008
AMERITAS INVESTMENT COMPANY, LLC
March 20, 1995 - March 5, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 20, 1995 - March 5, 1999
OSAIC FA, INC.
June 10, 1994 - February 3, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 10, 1994 - February 3, 1995
EQUITABLE ADVISORS, LLC
March 29, 1983 - July 25, 1994
METROPOLITAN LIFE INSURANCE COMPANY
March 29, 1983 - July 25, 1994
MSI FINANCIAL SERVICES, 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
(9/16/2015)
(1/10/2017)
(4/4/2014)
(4/4/2014)
(4/4/2014)
(4/4/2014)
(4/4/2014)
(9/14/2020)
(4/4/2014)
(4/4/2014)
(2/1/2021)
(9/12/2019)
(8/19/2024)
(7/26/2017)
(4/23/2014)
(8/6/2024)
Exams
FINRA
Current Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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