GG
Gregg E. Guiol
TRADINGBLOCK
Laguna Niguel, CA
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CRD#: 1262041
GG
Professional summary
Gregg Edward Guiol is a registered financial professional currently at TRADINGBLOCK located in Laguna Niguel, California.
Gregg is registered as a RR (Registered Representative) and started their career in finance in 1987. Gregg has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Gregg Edward Guiol's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 30, 2015 - Present
TRADINGBLOCK
BD
CRD#: 128605
Laguna Niguel, CA
Past
September 6, 2012 - February 2, 2015
E*TRADE FUTURES LLC
BD
CRD#: 145562
NEWPORT BEACH, CA
Past
March 7, 2006 - May 4, 2011
BROKERSXPRESS LLC
RIA
CRD#: 127081
NEWPORT BEACH, CA
Past
May 10, 2004 - September 10, 2012
BROKERSXPRESS LLC
BD
CRD#: 127081
NEWPORT BEACH, CA
Past
July 10, 2002 - June 2, 2004
OPTIONSXPRESS, INC.
BD
CRD#: 103849
CHICAGO, IL
Past
December 14, 1987 - July 25, 2002
DREYFUS BROKERAGE SERVICES, INC.
BD
CRD#: 7289
LOS ANGELES, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/30/2015)
RR
Alaska(1/30/2015)
RR
Arizona(1/30/2015)
RR
California(1/30/2015)
RR
Colorado(1/30/2015)
RR
Connecticut(1/30/2015)
RR
Delaware(1/30/2015)
RR
District of Columbia(1/30/2015)
RR
Florida(1/30/2015)
RR
Georgia(1/30/2015)
RR
Hawaii(1/30/2015)
RR
Idaho(1/30/2015)
RR
Illinois(1/30/2015)
RR
Indiana(1/30/2015)
RR
Iowa(1/30/2015)
RR
Kansas(1/30/2015)
RR
Kentucky(1/30/2015)
RR
Louisiana(1/30/2015)
RR
Maine(1/30/2015)
RR
Massachusetts(1/30/2015)
RR
Minnesota(1/30/2015)
RR
Mississippi(1/30/2015)
RR
Missouri(1/30/2015)
RR
Montana(1/30/2015)
RR
Nebraska(1/30/2015)
RR
Nevada(1/30/2015)
RR
New Hampshire(1/30/2015)
RR
New Jersey(1/30/2015)
RR
New Mexico(1/30/2015)
RR
New York(1/30/2015)
RR
North Carolina(2/2/2015)
RR
North Dakota(1/30/2015)
RR
Ohio(2/2/2015)
RR
Oregon(1/30/2015)
RR
Pennsylvania(1/30/2015)
RR
Rhode Island(1/30/2015)
RR
South Carolina(1/30/2015)
RR
South Dakota(1/30/2015)
RR
Texas(1/30/2015)
RR
Vermont(1/30/2015)
RR
Virginia(1/30/2015)
RR
Washington(1/30/2015)
RR
West Virginia(1/30/2015)
RR
Wisconsin(1/30/2015)
RR
Wyoming(1/30/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TR
TRADINGBLOCK
AOS, INC. | TUBREAUXS WEALTH & LEGACY SOLUTIONS | TRADINGBLOCK | TRADING BLOCK | THE CUSICK GROUP | SHEIKH INVESTMENTS | MYIPO | MONEYBLOCK ASSET MANAGEMENT | MONEYBLOCK | MIDWEST CAPITAL RESOURCES, INC. | AOS, INC. DBA MONEYBLOCK
CRD#: 128605 / SEC#: , 8-66163
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
311 S. Wacker Dr., Ste 1775 Ste 650, Chicago, IL 60606
Mailing Address
311 S. Wacker Dr., Ste 1775, Chicago, IL 60606
Phone number
(312) 253-0385
Established
Illinois since 06/02/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIA HOLDINGS INC. | OWNER | |
| HEFFERNAN, THOMAS ROBERT | VP | 5538731 |
| HOEH, PHILLIP JOHN | CCO | 2231877 |
| MARTINO, GARY ANTHONY | VP | 1458334 |
| OGILVIE, DONAL SHANNON | COO | 2863275 |
| VANDERHOOF, JOEL MICHAEL | PRESIDENT - INVESTMENT BANKING | 4152196 |
| WALLACE, ROBERT DIRLAM | CFO | 4606185 |
| WICKERT, JERE THOMAS | CEO AND PRESIDENT | 2079719 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
