Kevin J. Guarino

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CRD#: 1934454

Professional summary

Kevin Joseph Guarino was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kevin is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Kevin had worked at 4 firms, which includes NICHOLS SAFINA LERNER & CO. INC., UBS FINANCIAL SERVICES INC., GRUNTAL & CO. L.L.C., LADENBURG THALMANN & CO. INC..

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)

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

October 11, 1994 - April 4, 1997

NICHOLS, SAFINA, LERNER & CO. INC.

CRD#: 35476

NEW YORK, NY

Past

June 9, 1993 - October 7, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 14, 1991 - May 11, 1993

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

April 18, 1989 - February 6, 1991

LADENBURG THALMANN & CO. INC.

CRD#: 505

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

Series 63

Date: 5/3/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/15/1989

General Securities Representative Examination

Current Firm

NICHOLS, SAFINA, LERNER & CO. INC.

NICHOLS, SAFINA, LERNER & CO. INC. | RFB INVESTMENTS, INC.

CRD#: 35476 / SEC#: , 8-46731

Cancelled by SEC on 06/20/2001

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 11/08/1993

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Red Flags

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Kevin J. Guarino

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NICHOLS, SAFINA, LERNER & CO. INC.

UBS FINANCIAL SERVICES INC.

GRUNTAL & CO., L.L.C.

LADENBURG THALMANN & CO. INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/3/1989

Series 7

Date: 4/15/1989

Current Firm

NICHOLS, SAFINA, LERNER & CO. INC.

Contact information

Documents

Red Flags

Company Information

NICHOLS, SAFINA, LERNER & CO. INC.

TRUST BUT VERIFY

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