Guido A. Torres
Professional summary
Guido Alberto Torres was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Guido is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Guido had worked at 10 firms, which includes LH ROSS & COMPANY INC., MILLENNIUM SECURITIES CORP., J.P. TURNER & COMPANY L.L.C., ARGENT SECURITIES INC., WINDSOR STREET CAPITAL LP, DUKE & CO. INC., PACIFIC CORTEZ SECURITIES INCORPORATED, CHATFIELD DEAN & CO. INC., BARINGTON CAPITAL GROUP L.P., SOUTH RICHMOND SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2000 - February 5, 2001
LH ROSS & COMPANY, INC.
August 25, 1997 - February 18, 2000
MILLENNIUM SECURITIES CORP.
August 13, 1997 - August 20, 1997
J.P. TURNER & COMPANY, L.L.C.
June 19, 1997 - August 12, 1997
ARGENT SECURITIES, INC.
April 17, 1997 - June 16, 1997
WINDSOR STREET CAPITAL, LP
March 5, 1996 - April 16, 1997
DUKE & CO., INC.
February 25, 1994 - May 26, 1994
PACIFIC CORTEZ SECURITIES INCORPORATED
January 4, 1994 - March 1, 1994
CHATFIELD DEAN & CO., INC.
February 16, 1993 - July 12, 1993
BARINGTON CAPITAL GROUP, L.P.
September 23, 1992 - January 19, 1993
SOUTH RICHMOND SECURITIES, INC.
August 21, 1992 - September 28, 1992
CHATFIELD DEAN & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LH ROSS & COMPANY, INC.
CRD#: 37920 / SEC#: , 8-47990
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LH ROSS HOLDING CORP. | PARENT COMPANY | |
| MICHELIN, FRANKLYN ROSS | PRESIDENT | 2459180 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 15 |
Red Flags
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