Sandra L. Guay
Professional summary
Sandra Loretta Guay was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sandra is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Sandra had worked at 2 firms, which includes JESUP & LAMONT SECURITIES CORP, ANTAEUS CAPITAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2004 - May 16, 2008
JESUP & LAMONT SECURITIES CORP
June 23, 1995 - December 31, 2003
ANTAEUS CAPITAL, INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 12/2/1999
Limited Representative-Equity Trader ExamCurrent Firm
JESUP & LAMONT SECURITIES CORP
CRD#: 39056 / SEC#: , 8-48893
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JESUP AND LAMONT, INC | OWNER | |
| HOLUB, WILLIAM C | FINOP, CFO, COO, CCO | 2680290 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
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