Roy W. Guttman
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.
Roy William Guttman was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1972. Roy had worked at 4 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 1979 - April 1, 1980
CONTINENTAL ESTATE PLANNING ASSOCIATES, INC.
March 15, 1978 - January 10, 1985
ROSS, STEBBINS INC.
September 8, 1975 - September 29, 1977
MONARCH FUNDING CORP.
May 30, 1972 - December 4, 1987
ROONEY, PACE INC.
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 1
Date: 4/3/1969
Registered Representative ExaminationCurrent firm
No current employment
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.
