Douglas J. Guarino
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.
Douglas Joseph Guarino, who also goes by Doug J Guarino, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1988. Douglas had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2015 - January 8, 2016
ROCKWELL GLOBAL CAPITAL LLC
February 27, 2007 - December 16, 2015
ROCKWELL GLOBAL CAPITAL LLC
May 9, 2005 - June 7, 2007
ADVANCED PLANNING SECURITIES, INC.
January 8, 2004 - May 9, 2005
NATIONS FINANCIAL GROUP, INC.
April 10, 2002 - December 18, 2003
ARCHER ALEXANDER SECURITIES CORPORATION
October 29, 1999 - May 3, 2002
HAPOALIM SECURITIES USA, INC.
November 12, 1996 - October 29, 1999
ROYCE INVESTMENT GROUP, INC.
February 2, 1995 - November 19, 1996
KENSINGTON WELLS INCORPORATED
December 23, 1994 - January 24, 1995
RICKEL & ASSOCIATES, INC.
February 23, 1988 - December 23, 1994
SOUTH RICHMOND SECURITIES, INC.
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
ROCKWELL GLOBAL CAPITAL LLC
CRD#: 142485 / SEC#: , 8-67467
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 7 |
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.
