Michael A. Guzman
Professional summary
Being a previously registered professional could mean that this person 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.
Michael A Guzman, who also goes by Michael Guzman, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 14 firms and has passed the Series 65, Series 63, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2010 - August 15, 2014
STONEX SECURITIES INC.
June 18, 2010 - July 8, 2010
JESUP & LAMONT ADVISORS
June 16, 2010 - July 8, 2010
JESUP & LAMONT SECURITIES CORP
November 13, 2008 - June 9, 2010
HSBC SECURITIES (USA) INC.
November 13, 2008 - June 9, 2010
HSBC SECURITIES (USA) INC.
April 16, 2008 - October 29, 2008
CHASE INVESTMENT SERVICES CORP.
April 16, 2008 - October 29, 2008
CHASE INVESTMENT SERVICES CORP.
May 29, 2007 - April 7, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - April 7, 2008
CITIGROUP GLOBAL MARKETS INC.
March 15, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
November 2, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
January 1, 2005 - October 10, 2006
HSBC SECURITIES (USA) INC.
September 25, 2003 - January 1, 2005
HSBC BROKERAGE (USA) INC.
March 27, 2003 - September 11, 2003
QUICK & REILLY, INC.
June 7, 1999 - March 21, 2003
CITICORP INVESTMENT SERVICES
February 1, 1999 - May 27, 1999
JWGENESIS FINANCIAL GROUP, INC
January 1, 1998 - June 10, 1998
WALSH MANNING SECURITIES, LLC
November 3, 1997 - December 11, 1997
BILTMORE SECURITIES, INC.
October 22, 1997 - November 13, 1997
DALTON KENT SECURITIES GROUP, INC.
October 1, 1997 - October 29, 1997
CONTINENTAL BROKER-DEALER CORP.
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
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
