Julie A. Guyton
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.
Julie Allen Guyton, who also goes by Julie Diane Allen, Julie Diane Allen, Julie Allen Cox, was a registered financial professional .
Julie is a previously registered financial professional and started their career in finance in 1989. Julie had worked at 9 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 24, Series 53 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2021 - February 22, 2022
WOODROCK SECURITIES, L.P.
January 2, 2019 - July 29, 2021
KINGSWOOD CAPITAL PARTNERS, LLC
November 29, 2017 - December 31, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 8, 2016 - November 20, 2017
ZIONS DIRECT, INC.
January 7, 2004 - November 20, 2006
AMEGY INVESTMENTS, INC.
September 25, 2003 - April 15, 2004
SOUTHWEST BANK OF TEXAS, N.A.
May 13, 2003 - December 31, 2015
AMEGY INVESTMENTS, INC.
August 1, 2002 - May 15, 2003
FISERV INVESTOR SERVICES, INC.
February 26, 2002 - August 1, 2002
J.P. MORGAN SECURITIES INC.
February 19, 2002 - July 30, 2002
J.P. MORGAN SECURITIES OF TEXAS, INC.
July 30, 2001 - February 11, 2002
J.P. MORGAN SECURITIES INC.
May 8, 1989 - February 8, 2002
J.P. MORGAN SECURITIES OF TEXAS, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
WOODROCK SECURITIES, L.P.
CRD#: 133653 / SEC#: , 8-66753
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
