Jon E. Guay
Professional summary
Jon Eric Guay was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jon is a previously registered financial advisor and started their career in finance in 1997. Prior to being barred, Jon had worked at 6 firms, which includes B. RILEY WEALTH MANAGEMENT, QA3 FINANCIAL CORP., QA3 FINANCIAL LLC, CUNA BROKERAGE SERVICES INC., WALNUT STREET SECURITIES INC., ALAMO CAPITAL.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2011 - January 11, 2013
B. RILEY WEALTH MANAGEMENT
February 18, 2011 - January 11, 2013
B. RILEY WEALTH MANAGEMENT
May 12, 2008 - February 11, 2011
QA3 FINANCIAL CORP.
May 8, 2008 - February 11, 2011
QA3 FINANCIAL LLC
September 19, 2001 - May 7, 2008
CUNA BROKERAGE SERVICES, INC.
October 25, 2000 - May 7, 2008
CUNA BROKERAGE SERVICES, INC.
October 11, 1999 - April 27, 2000
WALNUT STREET SECURITIES, INC.
February 6, 1997 - February 5, 1998
ALAMO CAPITAL
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
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
Red Flags
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