Stephen W. Guinn
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.
Stephen Warner Guinn, who also goes by Stephen W Guinn, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1992. Stephen had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2000 - October 24, 2000
ZIONS DIRECT, INC.
July 23, 1998 - November 1, 2022
REGENCY INVESTMENT ADVISORS INC
August 19, 1997 - April 30, 1998
GRIFFIN FINANCIAL SERVICES
February 13, 1996 - June 12, 1997
U.S. BANCORP SECURITIES
March 28, 1995 - November 17, 1995
ESSEX NATIONAL SECURITIES, LLC
January 12, 1995 - February 9, 1996
FIRST INTERSTATE INVESTMENTS,INC.
April 15, 1994 - January 11, 1995
ASB FINANCIAL SERVICES
April 6, 1993 - April 18, 1994
MARKETING ONE SECURITIES, INC.
January 17, 1992 - March 15, 1993
EDWARD JONES
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
ZIONS DIRECT, INC.
CRD#: 17776 / SEC#: , 8-35721
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZIONS BANCORPORATION, N.A. | PARENT COMPANY | |
| HASH, JENNIFER KYLE | CHIEF COMPLIANCE OFFICER | 4123554 |
| KYRIAKAKIS, CHRISTOPHER | BOARD MEMBER | 8020162 |
| MACDONALD, MICHAEL WHITNEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 4533843 |
| MOORE, RYAN D | FINOP | 7216248 |
| RICHARDS, ROBERT RYAN | BOARD MEMBER | 8021252 |
| STEWARD, DEREK STRIBLING | BOARD MEMBER | 8022102 |
| YU, THOMAS | BOARD MEMBER | 7994635 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
Red Flags
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