Guy K. Spieler
Professional summary
Guy Keith Spieler is a registered financial professional currently at CHURCHILL STATESIDE SECURITIES, LLC located in Chicago, Illinois.
Guy is registered as a RR (Registered Representative) and started their career in finance in 1986. Guy has worked at 10 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 50, Series 7, Series 54, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Guy Keith Spieler's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 2, 2018 - Present
CHURCHILL STATESIDE SECURITIES, LLC
Office #1: 203 N. Lasalle Street Suite 2100, Chicago, IL 60601October 1, 2015 - June 21, 2018
FIRST EMPIRE SECURITIES, INC.
June 21, 2011 - August 10, 2015
INSPEREX LLC
September 22, 2010 - May 17, 2011
OPPENHEIMER & CO. INC.
October 3, 2008 - September 30, 2010
MELVIN SECURITIES, L.L.C.
March 29, 2005 - October 1, 2008
SBK-BROOKS INVESTMENT CORP.
May 12, 2004 - March 8, 2005
MELVIN SECURITIES, L.L.C.
May 22, 2001 - May 17, 2004
BANC ONE CAPITAL MARKETS, INC.
December 9, 1988 - May 15, 2001
LEHMAN BROTHERS INC.
March 14, 1987 - November 30, 1989
PRUDENTIAL EQUITY GROUP, LLC
December 4, 1986 - December 15, 1986
GILFORD SECURITIES INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/4/2020)
(3/26/2021)
(1/5/2023)
(10/13/2023)
(1/3/2019)
(6/24/2019)
(1/5/2023)
(1/4/2021)
(1/3/2019)
(3/15/2021)
(2/17/2021)
(7/2/2018)
(5/2/2019)
(1/5/2023)
(1/19/2021)
(1/5/2023)
(10/14/2020)
(8/4/2021)
(2/7/2019)
(1/6/2020)
(1/3/2019)
(1/3/2019)
(5/28/2020)
(7/25/2023)
(3/30/2021)
(3/22/2019)
(1/3/2019)
(1/3/2019)
(1/3/2019)
(1/4/2021)
(1/3/2019)
(3/30/2021)
(1/5/2023)
(7/25/2023)
(1/5/2023)
(1/3/2019)
(1/3/2019)
(3/15/2021)
(1/5/2023)
(2/4/2019)
(1/14/2019)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CHURCHILL STATESIDE SECURITIES, LLC
CRD#: 154603 / SEC#: , 8-68652
Contact information
FINRA licenses (41 States and Territories)
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.
