JG
Joseph A. Guenot
CFD INVESTMENTS
Julian, PA
Some features on this profile are disabled
CRD#: 2050889
JG
Professional summary
Joseph Allen Guenot, who also goes by Joe Allen Guenot, is a registered financial professional currently at CFD INVESTMENTS, INC. located in Julian, Pennsylvania.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1992. Joseph has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joe Allen Guenot
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.
1. INDEPENDENT INSURANCE AGENT. 1453 Steele Hollow Rd, Julian, PA 16844. 40 HRS/MONTH 2. CREATIVE FINANCIAL DESIGNS, INC. 2704 S GOYER RD. KOKOMO, IN 46902. INVESTMENT ADVISER REPRESENTATIVE. 3. Moral Wealth Strategies, LLC-Owner-Financial Services business-Investment related, Julian PA 175 hrs/MO 5. Edward Guenot, Builder & Landscape Services-Construction work-Warriors Mark PA-Not investment related-6-10 hrs/Mo hours vary
CRS (Client Relationship Summary) - BD
Click below to view Joseph Allen Guenot's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 23, 2006 - Present
CFD INVESTMENTS, INC.
BD
CRD#: 25427
Julian, PA
Past
March 24, 2006 - December 31, 2022
CREATIVE FINANCIAL DESIGNS, INC.
RIA
CRD#: 109032
JULIAN, PA
Past
February 5, 2004 - March 22, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
October 1, 1997 - February 6, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
July 27, 1992 - October 1, 1997
USLIFE EQUITY SALES CORP.
BD
CRD#: 7962
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/26/2020)
RR
Arkansas(11/10/2016)
RR
Colorado(1/6/2020)
RR
Connecticut(2/12/2024)
RR
Delaware(8/17/2016)
RR
Florida(1/3/2011)
RR
Georgia(11/6/2013)
RR
Illinois(11/12/2024)
RR
Indiana(2/12/2014)
RR
Kentucky(3/6/2024)
RR
Maryland(3/23/2006)
RR
Massachusetts(7/29/2016)
RR
Michigan(10/5/2021)
RR
Missouri(11/7/2013)
RR
New Jersey(1/4/2019)
RR
New York(5/13/2009)
RR
North Carolina(1/6/2020)
RR
Ohio(1/2/2008)
RR
Oklahoma(10/5/2021)
RR
Pennsylvania(3/23/2006)
RR
Texas(1/6/2020)
RR
Virginia(9/5/2017)
RR
Washington(11/20/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CFD INVESTMENTS, INC.
CFD INVESTMENTS, INC. | CFD SECURITIES, INC.
CRD#: 25427 / SEC#: , 8-41727
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
2704 S Goyer Rd, Kokomo, IN 46902
Mailing Address
P.o. Box 2244, Kokomo, IN 46904-2244
Phone number
(765) 453-9600
Established
Indiana since 12/10/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAUN, BRIGIT R | OWNER | 6585909 |
| OWENS, BRENT ANTHONY | PRESIDENT/DIRECTOR | 2261719 |
| ROCKEY, BROOKE LEIGH | OWNER | 4817176 |
| THE OWENS FAMILY TRUST DATED 8/1/2017 | OWNER | |
| BAHRENBURG, MATTHEW O | CHIEF COMPLIANCE OFFICER | 5295661 |
| HALE, DANIEL KRIS | OWNER, VICE PRESIDENT, DIRECTOR | 2649813 |
| OWENS, MICKEY LEE | DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017 | 1437001 |
| ROCKEY, CHRISTOPHER M | OWNER | 5504531 |
| ROOZE, KREGG JERROD | DIRECTOR, SECRETARY, TREASURER | 3174063 |
Disclosures
| Regulatory Event | 8 |
| Bond | 1 |
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.
