Stephen J. Guilfoyle
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.
Stephen John Guilfoyle was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1994. Stephen had worked at 6 firms and has passed the Series 63, SIE, Series 19 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
July 11, 2016 - December 6, 2016
STUART FRANKEL & CO., INCORPORATED
June 24, 2015 - July 12, 2016
BENJAMIN & JEROLD BROKERAGE I, LLC
November 25, 2014 - January 5, 2015
PRINCETON SECURITIES GROUP, LLC
April 23, 2007 - December 31, 2012
MERIDIAN EQUITY PARTNERS, INC.
October 31, 2006 - May 1, 2007
EQUITEX SECURITIES, LLC
December 7, 1994 - November 14, 2006
CREDIT SUISSE SECURITIES (USA) LLC
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 19
Date: 7/28/2016
NYSE Floor Clerk - Equities ExaminationCurrent Firm
STUART FRANKEL & CO., INCORPORATED
CRD#: 14593 / SEC#: , 8-17419
Contact information
FINRA licenses (6 States and Territories)
Disclosures
| Regulatory 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.
