Robert J. Gudino
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.
Robert James Gudino, who also goes by Robert J Gudino II, Robert James Gudino Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1991. Robert had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3 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
October 12, 2011 - September 30, 2016
FORESTERS EQUITY SERVICES, INC.
April 22, 2009 - September 13, 2011
HIGH STREET SECURITIES, INC.
October 23, 2006 - April 25, 2007
INVESTACORP, INC.
July 7, 2004 - May 4, 2005
AURA ASSET MANAGEMENT, INC.
September 4, 2001 - December 31, 2004
AURA FINANCIAL SERVICES, INC.
July 20, 2001 - November 3, 2006
AURA FINANCIAL SERVICES, INC.
January 9, 2001 - July 19, 2001
WALNUT STREET SECURITIES, INC.
September 17, 1998 - July 13, 2000
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 16, 1998 - September 30, 1998
SUNPOINT SECURITIES, INC.
May 13, 1997 - January 22, 1998
BARNETT INVESTMENTS, INC.
July 31, 1993 - May 27, 1997
CITIGROUP GLOBAL MARKETS INC.
June 22, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
July 30, 1991 - June 24, 1992
MORGAN STANLEY DW 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
Current Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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