Paul G. Guaneri
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.
Paul Gerard Guaneri, who also goes by Paul G Guaneri, Paul Gerard Guaneri, Paul Guaneri, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1985. Paul had worked at 17 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2017 - April 9, 2021
BMO CAPITAL MARKETS CORP.
December 15, 2015 - January 31, 2017
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
February 11, 2011 - January 31, 2017
MACQUARIE CAPITAL (USA) INC.
June 17, 2009 - January 31, 2011
FIDELITY DISTRIBUTORS CORPORATION
June 17, 2009 - February 1, 2011
FIDELITY DISTRIBUTORS COMPANY LLC
April 7, 2009 - January 28, 2011
FIDELITY BROKERAGE SERVICES LLC
May 7, 2007 - January 25, 2011
NATIONAL FINANCIAL SERVICES LLC
October 24, 2003 - April 30, 2004
R. J. THOMPSON SECURITIES, INC.
March 27, 2002 - September 27, 2006
TD WATERHOUSE CAPITAL MARKETS, INC.
January 1, 1997 - September 27, 2006
NATIONAL INVESTOR SERVICES CORP.
January 9, 1995 - June 15, 1998
WASHINGTON DISCOUNT BROKERAGE CORP.
March 24, 1994 - September 27, 2006
TD AMERITRADE, INC.
September 3, 1992 - September 8, 1993
THAMESWAY INC.
July 20, 1990 - April 11, 1994
BARCLAYS DE ZOETE WEDD INCORPORATED
January 2, 1990 - April 3, 1990
BREAN CAPITAL, LLC
December 17, 1987 - October 26, 1989
WALL STREET ACCESS
May 9, 1985 - June 23, 1986
RICHARDSON GREENSHIELDS 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | SHAREHOLDER | |
| BRICKLEY, THOMAS JOHN | FINANCIAL AND OPERATIONS PRINCIPAL | 3028843 |
| ESTEY, WARREN FRANCIS | MANAGING DIRECTOR, INVESTMENT BANKING | 3114183 |
| FORLENZA, MICHAEL | HEAD, CHIEF OPERATING OFFICER | 5886049 |
| KAHRAMAN, LEVENT | MANAGING DIRECTOR, GLOBAL MARKETS | 2802822 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
| YUKILEVICH, DANIEL | CHIEF COMPLIANCE OFFICER | 5635481 |
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 1,210,751,477 |
Disclosures
| Regulatory Event | 46 |
| Civil Event | 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.
