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Stephen D Guillory

CRD# 2295407·Registered 1992 - 2021
Previously Registered: Being a previously registered professional could mean that Stephen 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

Stephen D Guillory, who also goes by Doug Guillory, Stephen Douglas Guillory, was a registered financial advisor. Stephen was a previously registered financial professional and started their career in finance 1992 - 2021. Stephen had worked at 13 firms and has passed the Series 66, Series 63, SIE 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

Doug Guillory, Stephen Douglas Guillory

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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

ARISTA CONSULTING GROUP·CRD# 292330
RIA
Alpharetta, GA
February 7, 2018 - February 17, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.·CRD# 611
RIA
Columbiana, AL
July 28, 2015 - January 25, 2016
MUTUAL OF OMAHA INVESTOR SERVICES, INC.·CRD# 611
BD
Omaha, NE
July 22, 2015 - January 25, 2016
ADP BROKER-DEALER, INC.·CRD# 37693
BD
Roseland, NJ
July 14, 2014 - March 27, 2015
PNC CAPITAL ADVISORS LLC·CRD# 151829
RIA
Birmingham, AL
April 3, 2013 - June 24, 2014
FORESIDE DISTRIBUTION SOLUTIONS, LLC·CRD# 118787
BD
Birmingham, AL
November 13, 2012 - June 25, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Birmingham, AL
August 28, 2009 - October 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
Birmingham, AL
August 28, 2009 - October 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Birmingham, AL
January 7, 2005 - April 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
May 17, 2004 - April 29, 2009
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC·CRD# 18353
BD
Newark, NJ
April 14, 2003 - September 25, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
April 22, 1999 - April 16, 2003
PRINCIPAL SECURITIES, INC.·CRD# 1137
BD
Des Moines, IA
February 1, 1997 - March 4, 1998
TRUSTMARK SECURITIES, INC.·CRD# 29707
BD
Jackson, MS
April 17, 1996 - September 20, 1996
RAYMOND JAMES FINANCIAL SERVICES, INC.·CRD# 6694
BD
St. Petersburg, FL
June 6, 1994 - September 22, 1995
ALLSTATE FINANCIAL SERVICES, LLC·CRD# 18272
BD
Lincoln, NE
June 24, 1993 - October 28, 1993
WOODBURY FINANCIAL SERVICES, INC.·CRD# 421
BD
Oakdale, MN
January 1, 1993 - January 26, 1993
FSI FINANCIAL CORPORATION·CRD# 26261
BD
November 9, 1992 - December 23, 1992

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Current Firm

AC
ARISTA CONSULTING GROUP

ARISTA ADVISORY GROUP, LLC | ARISTA CONSULTING GROUP

CRD#: 292330

Contact Information

Main Address

Sautee Nacoochee, GA

Mailing Address

Dpt # 37053 2500 Dallas Highway Suite 202, Marietta, GA 30064

Phone Number

(678) 533-6040

# of Employees

4

Documents

Latest Form ADV

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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 66 — Uniform Combined State Law Examination

Passed Feb 2013About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1992About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jan 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 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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