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Felix Gurfink

CRD# 2200692·Registered 1992 - 1995
Previously Registered: Being a previously registered professional could mean that Felix 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.

Professional Summary

Felix Gurfink was a registered financial advisor. Felix was a previously registered financial professional and started their career in finance 1992 - 1995. Felix had worked at 10 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

34 years in the financial services industry

Current & Past Employments

SMITH, BENTON & HUGHES, INC.·CRD# 20877
BD
Los Angeles, CA
July 5, 1995 - July 20, 1995
CARTWRIGHT AND WALKER SECURITIES, INCORPORATED·CRD# 23504
BD
Los Angeles, CA
September 29, 1994 - July 11, 1995
PACIFIC CORTEZ SECURITIES INCORPORATED·CRD# 24341
BD
San Diego, CA
January 11, 1994 - January 31, 1994
BUTTONWOOD SECURITIES, INC.·CRD# 18420
BD
New York, NY
December 9, 1993 - March 16, 1994
BURNETT, GREY & CO., INC.·CRD# 23430
BD
Atlanta, GA
September 3, 1993 - September 22, 1993
M. RIMSON & CO., INC.·CRD# 5250
BD
New York, NY
July 14, 1993 - December 12, 1994
GRUNTAL & CO., L.L.C.·CRD# 372
BD
New York, NY
January 19, 1993 - May 3, 1993
GRUNTAL & CO., L.L.C.·CRD# 372
BD
New York, NY
December 2, 1992 - December 17, 1992
PARAGON CAPITAL MARKETS, INC.·CRD# 18555
BD
East Hanover, NJ
September 28, 1992 - November 17, 1992
WESTFIELD FINANCIAL CORPORATION·CRD# 8143
BD
New York, NY
July 6, 1992 - August 11, 1992
CIBC WORLD MARKETS CORP.·CRD# 630
BD
New York, NY
June 25, 1992 - July 10, 1992

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Current Firm

SB
SMITH, BENTON & HUGHES, INC.

SMITH, BENTON & HUGHES, INC.

CRD#: 20877 / SEC#: 8-38535
BD
Terminated by SEC on 06/20/1998

Contact Information

Established

Colorado since 08/11/1987

Firm Type

Corporation

Fiscal Year End

September

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1992About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jun 1992About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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