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GR

Guy J. Rotondo

Some features on this profile are disabled
CRD#: 1870701
GR

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.

Guy John Rotondo was a registered financial professional .

Guy is a previously registered financial professional and started their career in finance in 1988. Guy had worked at 4 firms and has passed the Series 63, Series 7, Series 3 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 22, 2007 - February 13, 2013

ZENITH SECURITIES LLC

BD
CRD#: 138135
MELVILLE, NY
Past

April 2, 2001 - December 13, 2005

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY
Past

May 15, 1995 - January 19, 1999

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

October 19, 1988 - March 20, 1990

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/15/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1988
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 9/16/1988
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/1/1998
General Securities Principal Examination

Current Firm

ZS
ZENITH SECURITIES LLC
HSH N FINANCIAL SECURITIES LLC | ZENITH SECURITIES LLC | ZENITH CAPITAL ADVISORS LLC | MID-SHIP SECURITIES LLC

CRD#: 138135 / SEC#: , 8-67146

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
100 First Stamford Place Suite 330, Stamford, CT 06902
Mailing Address
100 First Stamford Place Suite 330, Stamford, CT 06902
Phone number
(203) 253-5936
Established
Delaware since 08/23/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HONDO HOLDINGS LLCMEMBER
PRIVATE LEDGER, LLCMEMBER
ARORA, VRINDAFINOP7784034
BISCHOFF, STEVEN WALLACECEO1401631
WHITE, ALAN THOMASCCO2723669

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.

Company Information

ZENITH SECURITIES LLC

CRD#: 138135

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