Gerald A. Guild
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.
Gerald Andress Guild was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1967. Gerald had worked at 9 firms and has passed the Series 66, Series 7TO, SIE, PC, Series 1, Series 8, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2009 - January 2, 2025
BOLTON GLOBAL CAPITAL
January 24, 2003 - May 15, 2007
SECUREVEST FINANCIAL GROUP
October 18, 1999 - April 29, 2002
ADVEST, INC.
May 17, 1984 - May 21, 1999
ADVEST, INC.
December 30, 1982 - May 2, 1984
LION SECURITIES GROUP
June 16, 1982 - November 10, 1984
KORMENDI, BYRD BROTHERS, INC.
December 27, 1979 - July 2, 1980
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
July 25, 1977 - December 19, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
November 5, 1973 - September 18, 1976
DOMIK CORP.
April 10, 1967 - November 19, 1973
W. E. HUTTON & CO.
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 8/23/1989
AMEX Put and Call ExamSeries 1
Date: 12/19/1961
Registered Representative ExaminationSeries 8
Date: 5/11/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 8/30/1977
Registered Principal ExaminationCurrent Firm
BOLTON GLOBAL CAPITAL
CRD#: 15650 / SEC#: , 8-33222
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRENIER, RAYMOND GERARD | CHAIRMAN OF THE BOARD | 1404159 |
| BEALS, MATTHEW GEORGE | PRESIDENT AND CHIEF OPERATING OFFICER | 5157251 |
| CATALDO, JOHN GENNARO | CHIEF ADMINISTRATIVE AND LEGAL OFFICER | 5707721 |
| MAHLE, DAPHNE JANE | CHIEF COMPLIANCE OFFICER | 4367277 |
| PRESKENIS, STEVEN CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 4410822 |
| TARPEY, STEVEN R | CHIEF FINANCIAL OFFICER | 6640625 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
| Bond | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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