Gary D. Guirand
Professional summary
Gary Ducarmel Guirand was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gary is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Gary had worked at 9 firms, which includes WOODSTOCK FINANCIAL GROUP INC., SUNPOINT SECURITIES INC., THE CAMELOT GROUP INC., NATIONAL SECURITIES CORPORATION, LEGEND MERCHANT GROUP INC., ASH FINANCIAL CORP., H.J. MEYERS & CO. INC., INVESTORS ASSOCIATES INC., H G I.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 1999 - April 3, 2001
WOODSTOCK FINANCIAL GROUP, INC.
November 10, 1999 - November 19, 1999
SUNPOINT SECURITIES, INC.
November 17, 1998 - December 16, 1999
THE CAMELOT GROUP, INC.
October 5, 1998 - October 7, 1998
NATIONAL SECURITIES CORPORATION
October 21, 1997 - December 11, 1997
LEGEND MERCHANT GROUP, INC.
June 30, 1997 - November 7, 1997
ASH FINANCIAL CORP.
April 28, 1997 - June 6, 1997
H.J. MEYERS & CO., INC.
August 28, 1995 - April 18, 1997
INVESTORS ASSOCIATES, INC.
February 15, 1994 - September 8, 1995
H G I
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WOODSTOCK FINANCIAL GROUP, INC.
CRD#: 38095 / SEC#: 801-65881, 8-48080
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOODSTOCK HOLDINGS INC | HOLDING COMPANY | |
| BRANCA, ANTHONY DOUGLAS | CHIEF COMPLIANCE OFFICER OF BD | 1178639 |
| BRANCA, ANTHONY DOUGLAS | CHIEF OPERATING OFFICER | 1178639 |
| RAIKE, WILLIAM JASPER III | CHIEF COMPLIANCE OFFICER - RIA | 1502298 |
| RAIKE, WILLIAM JASPER III | PRESIDENT / CEO | 1502298 |
| RAIKE, WILLIAM JASPER III | ROSFP | 1502298 |
| WHITLEY, MELISSA LYNN | CHIEF FINANCIAL OFFICER / FINOP | 2615710 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
Red Flags
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