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RG

Richard J. Guerin

Some features on this profile are disabled
CRD#: 1452262
RG

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.

Richard John Guerin was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 11 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 12, 2016 - August 1, 2022

ACS EXECUTION SERVICES, LLC

BD
CRD#: 17972
Red Bank, NJ
Past

December 18, 2014 - June 4, 2015

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

June 17, 2013 - June 19, 2014

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
NEW YORK, NY
Past

September 8, 2010 - April 18, 2013

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
NEW YORK, NY
Past

March 7, 2005 - July 23, 2010

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
NEW YORK, NY
Past

July 18, 2002 - March 3, 2005

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
SAN FRANCISCO, CA
Past

June 9, 1999 - July 17, 2002

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

April 3, 1998 - June 10, 1999

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

March 12, 1997 - March 15, 1998

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY
Past

March 4, 1997 - April 3, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 8, 1987 - March 6, 1996

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY
Past

February 25, 1986 - September 21, 1987

FIRST MANHATTAN SECURITIES LLC

BD
CRD#: 1845

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/6/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/21/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/18/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/18/2003
General Securities Principal Examination

Current Firm

AE
ACS EXECUTION SERVICES, LLC
ACS EXECUTION SERVICES, LLC | SOLOWEY & CO.

CRD#: 17972 / SEC#: , 8-36005

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
12 Broad Street 2nd Floor, Red Bank, NJ 07701
Mailing Address
12 Broad Street 2nd Floor, Red Bank, NJ 07701
Phone number
(732) 204-8999
Established
Delaware since 11/13/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ACS GLOBAL HOLDINGS, LLCSOLE MEMBER
DEROLF, MARK KENNETHCHIEF COMPLIANCE OFFICER1924355
LANG, TIMOTHY JUDECHIEF EXECUTIVE OFFICER & EXECUTIVE REP.1109356
MURPHY, KRISTENCHIEF FINANCIAL OFFICER & FINOP2287252

Disclosures

Regulatory Event3

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.

Company Information

ACS EXECUTION SERVICES, LLC

CRD#: 17972

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