Guy G. Mockbee
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.
Guy Garron Mockbee was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1984. Guy had worked at 7 firms and has passed the Series 63 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
September 13, 1993 - April 13, 1994
DALLAS RESEARCH & TRADING, INC.
January 21, 1993 - August 20, 1993
INVESTORS ASSOCIATES, INC.
August 19, 1992 - December 22, 1992
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
March 20, 1991 - September 26, 1991
TAMARON INVESTMENTS, INC.
July 5, 1990 - March 6, 1991
FINANCIAL EQUITIES RESOURCES, INC.
November 27, 1984 - September 13, 1991
MONMOUTH INVESTMENTS, INC.
January 27, 1984 - September 27, 1984
KOBRIN SECURITIES, 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
Exams
Current Firm
DALLAS RESEARCH & TRADING, INC.
CRD#: 28806 / SEC#: , 8-43964
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
