Timothy J. Guba
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.
Timothy James Guba was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1986. Timothy had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2017 - July 7, 2017
AURIGA USA, LLC
January 30, 2012 - July 10, 2015
GUGGENHEIM SECURITIES, LLC
January 1, 2004 - January 3, 2012
KEEFE, BRUYETTE & WOODS, INC.
November 19, 1996 - December 16, 1996
KESSLER & COMPANY INVESTMENTS, INC.
May 22, 1992 - January 11, 1995
UBS FINANCIAL SERVICES INC.
April 29, 1991 - May 6, 1992
TULLETT PREBON FINANCIAL SERVICES LLC
September 4, 1990 - May 11, 1991
FINANCIAL SQUARE PARTNERS
March 7, 1990 - August 7, 1990
FUNDAMENTAL CORPORATE BOND BROKERS, INC.
October 30, 1989 - November 21, 1989
DAHLKE & CO., INC.
May 25, 1988 - August 17, 1990
FUNDAMENTAL BROKERS
July 25, 1987 - July 19, 1988
L.F. ROTHSCHILD MORTGAGE CAPITAL CORPORATION
November 20, 1986 - July 15, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
March 19, 1986 - December 10, 1986
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
AURIGA USA, LLC
CRD#: 121731 / SEC#: , 8-65441
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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