Guy M. Barudin

CHARDAN CAPITAL MARKETS LLC

NEW YORK, NY 10119

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CRD#: 1751409

Professional summary

Guy Michael Barudin is a registered financial professional currently at CHARDAN CAPITAL MARKETS LLC located in New York, New York.

Guy is registered as a RR (Registered Representative) and started their career in finance in 1987. Guy has worked at 4 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Guy Michael Barudin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 18, 2019 - Present

CHARDAN CAPITAL MARKETS LLC

Office #1: 1 Pennsylvania Plaza Suite 4800, New York, NY 10119

CRD#: 120128

NEW YORK, NY

Past

July 14, 1989 - April 7, 1992

SBC WARBURG DILLON READ INC.

CRD#: 1650

Past

October 15, 1988 - July 14, 1989

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

November 3, 1987 - August 20, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(7/18/2019)

Exams

State Security Law Exam

Series 63

Date: 7/18/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/21/2022

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 3/18/2019

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 2/12/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/5/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/17/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/9/2021

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

CHARDAN CAPITAL MARKETS LLC

CHARDAN | THE GRAMERCY GROUP, LLC | CHARDAN CAPITAL MARKETS LLC | CHARDAN CAPITAL MARKETS

CRD#: 120128 / SEC#: , 8-65277

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1 Pennsylvania Plaza Suite 4800, New York, NY 10119

Mailing Address

1 Pennsylvania Plaza Suite 4800, New York, NY 10119

Phone number

(646) 465-9000

Established

New York since 03/05/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (40 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CHARDAN SECURITIES, LLC	MEMBER
GROSSMAN, JONAS SVEN MAGNUS	PRESIDENT	3186901
MILLER, ANDREW DAVID	FINOP	5106774
MILLER, ANDREW DAVID	PRINCIPAL OPERATIONS CFFICER	5106774
MILLER, ANDREW DAVID	PRINCIPAL FINANCIAL OFFICER	5106774
SOUTHWICK, DWIGHT CHRISTIAN	CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER	1353036
URBACH, STEVEN AARON	CEO	4137317

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Guy M. Barudin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Guy Michael Barudin's CRS (Customer Relationship Summary).

Certified licenses

Experience

SBC WARBURG DILLON READ INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 7/18/2019

Series 7TO

Date: 11/21/2022

Series 79TO

Date: 3/18/2019

SIE

Date: 2/12/2019

Series 3

Date: 12/5/2012

Series 7

Date: 10/17/1987

Series 24

Date: 11/9/2021

FINRA

Nasdaq Stock Market

Current Firm

CHARDAN CAPITAL MARKETS LLC

Contact information

FINRA licenses (40 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CHARDAN CAPITAL MARKETS LLC

TRUST BUT VERIFY

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