Barry E. Guimont
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.
Barry Edward Guimont, who also goes by Barry E Guimont, was a registered financial advisor .
Barry is a previously registered financial advisor and started their career in finance in 1986. Barry had worked at 4 firms and has passed the Series 65, Series 63 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
April 17, 2007 - February 17, 2010
FFEC WEALTH PARTNERS LLC
September 30, 2002 - February 17, 2010
FFEC WEALTH PARTNERS LLC
October 28, 1999 - September 30, 2002
PRUDENTIAL EQUITY GROUP, LLC
July 15, 1991 - October 19, 1999
UBS FINANCIAL SERVICES INC.
November 26, 1986 - July 16, 1991
DAIN RAUSCHER 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
Exams
Current Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
