Bobby E. Guess
Professional summary
Bobby Eugene Guess was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Bobby is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, Bobby had worked at 7 firms, which includes FIVE STAR WEALTH MANAGEMENT INC., LEO BROKERAGE LLC, NORTH AMERICAN MANAGEMENT INC., SIGNAL SECURITIES INC., SECURITIES AMERICA INC., FIRST AMERICA EQUITIES CORP., PFS INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2010 - April 14, 2011
FIVE STAR WEALTH MANAGEMENT, INC.
November 8, 2005 - October 25, 2010
LEO BROKERAGE, LLC
August 24, 2005 - October 25, 2010
LEO BROKERAGE, LLC
January 1, 1995 - May 7, 1996
NORTH AMERICAN MANAGEMENT, INC.
October 4, 1991 - December 31, 1992
SIGNAL SECURITIES, INC.
August 31, 1990 - October 29, 1991
SECURITIES AMERICA, INC.
March 20, 1990 - September 13, 1991
FIRST AMERICA EQUITIES CORP.
January 13, 1984 - March 10, 1990
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current firm
No current employment
Red Flags
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