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Robert Michael Guiltinan

CRD# 2644488·Registered 1995 - 2016
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Michael Guiltinan, who also goes by Bob Michael Guiltinan, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1995 - 2016. Robert had worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 27 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Bob Michael Guiltinan

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

31 years in the financial services industry

Current & Past Employments

AARON CAPITAL INCORPORATED·CRD# 28583
BD
Encinitas, CA
March 1, 2002 - October 25, 2016
TRADEWAY SECURITIES GROUP, INC.·CRD# 29794
BD
Carlsbad, CA
August 23, 1995 - September 20, 2002

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Current Firm

AC
AARON CAPITAL INCORPORATED

AARON CAPITAL INCORPORATED | AARON CAPITAL, INCORPORATED

CRD#: 28583 / SEC#: 8-44000
BD
Terminated by SEC on 09/30/2022

Contact Information

Main Address

2244 Faraday, Carlsbad, CA 92008

Established

Texas since 10/12/1989

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
WOLFE, DAVID SANFORDCHAIRMAN/CEO/CCO1019315
CARTER, ANA RCFO/FINOP4424794

Disclosures

Regulatory Event

5

Arbitration

1

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Nov 2009About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1996About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 1996About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 1998About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Aug 1995About the Series 27 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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