Joseph W. Guterding
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.
Joseph W Guterding, who also goes by Joseph William Guterding, Joseph W Guterding, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 10 firms and has passed the Series 63, Series 72, SIE 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
November 28, 2022 - April 4, 2025
GFI SECURITIES LLC
January 24, 2019 - November 10, 2022
TULLETT PREBON FINANCIAL SERVICES LLC
February 4, 2014 - March 25, 2019
TP ICAP GLOBAL MARKETS AMERICAS LLC
October 11, 2011 - December 19, 2013
DEALERWEB LLC
January 17, 2007 - October 10, 2011
RAFFERTY CAPITAL MARKETS, LLC
May 18, 1995 - December 5, 1996
LIBERTY BROKERS
November 17, 1993 - January 19, 2007
TULLETT PREBON FINANCIAL SERVICES LLC
September 1, 1993 - November 2, 1993
CEDAR STREET SECURITIES CORP.
March 3, 1989 - August 18, 1993
INTERCAPITAL SECURITIES LLC
March 3, 1989 - August 18, 1993
ICAP SECURITIES USA LLC
September 3, 1987 - October 13, 1989
FUNDAMENTAL BROKERS
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
GFI SECURITIES LLC
CRD#: 19982 / SEC#: , 8-43548
Contact information
FINRA licenses (26 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GFINET INC. | SOLE MEMBER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | PRINCIPAL | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 30 |
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