Guy A. Fritts
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 Anthony Fritts was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1984. Guy had worked at 11 firms and has passed the Series 65, Series 63, Series 31 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
January 5, 1999 - March 16, 2000
BISHOP, ROSEN & CO., INC.
April 18, 1997 - December 31, 1998
ALEXANDER, WESCOTT, & CO., INC.
September 12, 1995 - April 30, 1997
RENAISSANCE FINANCIAL SECURITIES CORP.
February 8, 1995 - August 4, 1995
FIRST MONTAUK SECURITIES CORP.
October 3, 1994 - February 23, 1995
MERIDIAN, DUNHILL & CO., INC.
June 30, 1993 - October 3, 1994
DUNHILL EQUITIES, INC.
October 1, 1992 - June 21, 1993
MORGAN STANLEY DW INC.
March 13, 1992 - September 30, 1992
M.A. GILLESPIE INVESTMENT CORP.
November 3, 1989 - May 17, 1990
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
October 27, 1987 - December 15, 1987
WINDSOR IBC, INC.
April 23, 1984 - May 6, 1988
E. F. HUTTON & COMPANY 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
BISHOP, ROSEN & CO., INC.
CRD#: 1248 / SEC#: , 8-12140
Contact information
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
| Bond | 1 |
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.
