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Craig P. Mcguinn

Some features on this profile are disabled
CRD#: 1972885
CM

Professional summary

Craig Pearson Mcguinn II was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Craig is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Craig had worked at 9 firms, which includes SANDGRAIN SECURITIES LLC, J.W. BARCLAY & CO. INC., FIRST METROPOLITAN SECURITIES INC., SHAMUS GROUP INC., MONITOR INVESTMENT GROUP INC., THE THORNWATER COMPANY L.P., BARINGTON CAPITAL GROUP L.P., A.S. GOLDMEN & CO. INC., FIRST FIDELITY CAPITAL CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Craig Pearson Mcguinn

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

April 19, 1999 - August 31, 2000

SANDGRAIN SECURITIES LLC

BD
CRD#: 26004
GARDEN CITY, NY
Past

January 16, 1998 - April 5, 1999

J.W. BARCLAY & CO., INC.

BD
CRD#: 23350
WOODBRIDGE, NJ
Past

October 30, 1997 - January 5, 1998

FIRST METROPOLITAN SECURITIES, INC.

BD
CRD#: 7594
NEW YORK, NY
Past

July 29, 1996 - October 31, 1997

SHAMUS GROUP, INC.

BD
CRD#: 5036
Past

March 25, 1996 - July 25, 1996

MONITOR INVESTMENT GROUP, INC.

BD
CRD#: 31007
Past

September 21, 1995 - February 27, 1996

THE THORNWATER COMPANY, L.P.

BD
CRD#: 36195
NEW YORK, NY
Past

November 20, 1992 - September 25, 1995

BARINGTON CAPITAL GROUP, L.P.

BD
CRD#: 29383
NEW YORK, NY
Past

July 12, 1990 - November 28, 1992

A.S. GOLDMEN & CO., INC.

BD
CRD#: 23180
RED BANK, NJ
Past

January 24, 1990 - October 19, 1990

FIRST FIDELITY CAPITAL CORP.

BD
CRD#: 17967

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: 9/29/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 3/13/1997
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 24
Date: 10/15/1993
General Securities Principal Examination

Current Firm

SS
SANDGRAIN SECURITIES LLC
SANDGRAIN SECURITIES LLC | SANDGRAIN SECURITIES, INC.

CRD#: 26004 / SEC#: , 8-42262

BD
Terminated by SEC on 09/27/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/31/2011
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KRH AQUISITION LLCSHAREHOLDER
RAFFERTY HOLDINGS LLCSHAREHOLDER
HAY, KATHLEEN RAFFERTYPRESIDENT, CEO5045127
NAPOLITANO, ANTHONY FRIEDCHIEF COMPLIANCE OFFICER
SPRAGUE, STEPHEN PACKARDFINOP2516579

Disclosures

Regulatory Event2
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

SANDGRAIN SECURITIES LLC

CRD#: 26004

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