Stephen D. Guillory
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 D Guillory, who also goes by Doug Guillory, Stephen Douglas Guillory, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1992. Stephen had worked at 13 firms and has passed the Series 66, Series 63, SIE 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
February 7, 2018 - February 17, 2021
ARISTA CONSULTING GROUP
July 28, 2015 - January 25, 2016
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 22, 2015 - January 25, 2016
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 14, 2014 - March 27, 2015
ADP BROKER-DEALER, INC.
April 3, 2013 - June 24, 2014
PNC CAPITAL ADVISORS LLC
November 13, 2012 - June 25, 2014
FORESIDE DISTRIBUTION SOLUTIONS, LLC
August 28, 2009 - October 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 28, 2009 - October 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 2005 - April 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 17, 2004 - April 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 14, 2003 - September 25, 2003
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
April 22, 1999 - April 16, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 1997 - March 4, 1998
PRINCIPAL SECURITIES, INC.
April 17, 1996 - September 20, 1996
TRUSTMARK SECURITIES, INC.
June 6, 1994 - September 22, 1995
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 24, 1993 - October 28, 1993
ALLSTATE FINANCIAL SERVICES, LLC
January 1, 1993 - January 26, 1993
WOODBURY FINANCIAL SERVICES, INC.
November 9, 1992 - December 23, 1992
FSI FINANCIAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ARISTA CONSULTING GROUP
CRD#: 292330 / SEC#:
Contact information
Red Flags
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