Guy T. Piche
Professional summary
Guy Tilton Piche was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Guy is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Guy had worked at 5 firms, which includes WAMU INVESTMENTS INC., BANK UNITED SECURITIES CORP., FISERV INVESTOR SERVICES INC., TRADESTAR INVESTMENTSINC., UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2008 - April 7, 2009
WAMU INVESTMENTS, INC.
April 1, 2001 - April 7, 2009
WAMU INVESTMENTS, INC.
January 14, 1998 - April 1, 2001
BANK UNITED SECURITIES CORP.
January 2, 1997 - January 13, 1998
FISERV INVESTOR SERVICES, INC.
January 5, 1996 - January 2, 1997
TRADESTAR INVESTMENTS,INC.
April 6, 1993 - December 21, 1995
UBS FINANCIAL SERVICES 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
Current Firm
WAMU INVESTMENTS, INC.
CRD#: 599 / SEC#: , 8-3641
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC. | DIRECT OWNER | |
| CECILIO, ROBERT MARC | DIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICER | 1539928 |
| CHABOT, ALAN JAMES | DIRECTOR | 2617874 |
| HENRY, J. CHRISTOPHER | DIRECTOR | 5591455 |
| PERSONS, AARON MATTHEW | FIRST VICE PRESIDENT | 2216151 |
| RHEE, LISA HAMMOND | FINOP | 3251733 |
| WILBURN, DOUGLAS FREDERICK | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 18 |
Red Flags
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