Edward I. Guthmann
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.
Edward I Guthmann, who also goes by Eddie Guthmann, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1968. Edward had worked at 19 firms and has passed the Series 66, Series 63, Series 7, Series 000, Series 1, Series 24, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2009 - September 26, 2014
STONEX SECURITIES INC.
September 29, 2008 - July 17, 2009
AURA FINANCIAL SERVICES, INC.
January 3, 2008 - September 29, 2008
LIVINGSTON MONROE CAPITAL GROUP INC.
March 8, 2006 - December 31, 2007
WELLSTONE SECURITIES, LLC
September 13, 2005 - March 8, 2006
RESOURCE HORIZONS GROUP LLC
October 10, 2003 - September 14, 2005
DUNWOODY BROKERAGE SERVICES, INC.
February 5, 2002 - October 16, 2003
PRIMEX
January 2, 2002 - February 5, 2002
OPPENHEIMER & CO. INC.
August 3, 2001 - January 2, 2002
JOSEPHTHAL & CO., INC.
August 17, 1995 - December 31, 1996
FIDELITY NATIONAL CAPITAL INVESTORS, INC.
August 11, 1993 - July 12, 1995
MERIDIAN, DUNHILL & CO., INC.
September 16, 1991 - July 20, 1993
PRUDENTIAL EQUITY GROUP, LLC
July 1, 1986 - September 17, 1991
RAYMOND JAMES & ASSOCIATES, INC.
November 14, 1985 - June 30, 1986
FSC SECURITIES CORPORATION
January 24, 1985 - November 23, 1985
EASTER KRAMER GROUP SECURITIES, INC.
June 18, 1982 - October 12, 1984
UBS FINANCIAL SERVICES INC.
September 16, 1977 - June 8, 1982
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
December 13, 1968 - February 27, 1976
BACHE & CO., INCORPORATED
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 000
Date: 12/21/1964
General Securities Principal ExaminationSeries 1
Date: 12/21/1964
Registered Representative ExaminationSeries 40
Date: 12/13/1968
Registered Principal ExaminationSeries 12
Date: 12/9/1968
NYSE Branch Manager ExaminationCurrent Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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.
