Guy Montenora
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 Montenora, who also goes by Guy Alexander Montenora, Guido A Montenora, Guido Montenora, Guy Alex Montenora, was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1994. Guy had worked at 17 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2020 - December 22, 2020
NYLIFE SECURITIES LLC
March 28, 2018 - January 16, 2019
T3 TRADING GROUP, LLC
April 18, 2016 - November 9, 2016
HSBC SECURITIES (USA) INC.
April 3, 2012 - April 1, 2014
HSBC SECURITIES (USA) INC.
January 2, 2004 - November 2, 2010
CHASE INVESTMENT SERVICES CORP.
May 21, 2002 - November 21, 2003
CITICORP INVESTMENT SERVICES
October 18, 2000 - August 23, 2001
CITICORP INVESTMENT SERVICES
March 16, 2000 - October 24, 2000
BNY MELLON SECURITIES CORPORATION
February 8, 1999 - June 2, 1999
PRIME CAPITAL SERVICES, INC.
August 27, 1998 - September 9, 1998
JOSEPH CHARLES & ASSOC., INC.
April 7, 1998 - April 29, 1998
GLOBAL CAPITAL MARKETS, LLC
January 30, 1998 - May 1, 1998
THE MINNEAPOLIS COMPANY, INC.
September 30, 1997 - March 23, 1998
ROBERT THOMAS SECURITIES, INC
January 15, 1996 - September 17, 1996
ROYCE INVESTMENT GROUP, INC.
July 26, 1995 - November 20, 1995
FIRST ASSET MANAGEMENT, INC.
March 14, 1995 - June 20, 1995
BLUESTONE CAPITAL CORP.
November 16, 1994 - January 18, 1995
FAIRCHILD FINANCIAL GROUP, INC.
July 22, 1994 - August 18, 1994
LADENBURG CAPITAL MANAGEMENT INC.
July 22, 1994 - December 16, 1994
KENSINGTON WELLS INCORPORATED
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
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| 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.
