David J. Guy
Professional summary
David Jerome Guy JR is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Cape May, New Jersey.
David is registered as a RR (Registered Representative) and started their career in finance in 1994. David has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Jerome Guy JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 13, 2022 - Present
VANDERBILT SECURITIES, LLC
January 18, 2000 - February 22, 2022
SECURITIES AMERICA, INC.
May 24, 1994 - January 3, 1995
METROPOLITAN LIFE INSURANCE COMPANY
May 24, 1994 - January 3, 1995
MSI 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
(10/22/2025)
(5/13/2022)
(5/13/2022)
(2/14/2023)
(5/13/2022)
(5/13/2022)
(5/13/2022)
(6/27/2023)
(12/18/2024)
(8/3/2023)
Exams
FINRA
Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
