Gregory D. Guest

CAPITAL ONE SECURITIES

New York, NY 10171

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CRD#: 2900150

Professional summary

Gregory Dale Guest, who also goes by Gregory Guest, is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in New York, New York.

Gregory is registered as a RR (Registered Representative) and started their career in finance in 1997. Gregory has worked at 7 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gregory Guest

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gregory Dale Guest's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 25, 2024 - Present

CAPITAL ONE SECURITIES, INC.

Office #1: 299 Park Avenue 28th Floor, New York, NY 10171

CRD#: 44158

New York, NY

Past

November 30, 2020 - August 10, 2024

AVIDITI FINANCIAL, LLC

CRD#: 309026

New York, NY

Past

January 24, 2020 - December 2, 2020

BA SECURITIES, LLC

CRD#: 153489

W. CONSHOHOCKEN, PA

Past

January 15, 2013 - January 11, 2019

MCS CAPITAL MARKETS LLC

CRD#: 151337

NEW YORK, NY

Past

September 6, 2007 - January 11, 2019

KKR CAPITAL MARKETS LLC

CRD#: 143571

NEW YORK, NY

Past

April 13, 1998 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

November 24, 1997 - August 20, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

PHILADELPHIA, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(9/25/2024)

Connecticut
(9/25/2024)

Florida
(9/25/2024)

Illinois
(9/25/2024)

Louisiana
(9/25/2024)

Maryland
(9/25/2024)

Massachusetts
(9/25/2024)

New York
(9/25/2024)

Pennsylvania
(9/25/2024)

Texas
(9/25/2024)

Virginia
(9/25/2024)

Exams

State Security Law Exam

Series 63

Date: 3/2/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/1997

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

CAPITAL ONE SECURITIES, INC.

CAPITAL ONE SECURITIES, INC. | SOUTHCOAST CAPITAL L.L.C. | HIBERNIA SOUTHCOAST CAPITAL, INC. | CAPITAL ONE SOUTHCOAST, INC | CAPITAL ONE SOUTHCOAST

CRD#: 44158 / SEC#: , 8-50561

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

201 St. Charles Avenue Suite 1830, New Orleans, LA 70170

Mailing Address

201 St. Charles Avenue Suite 1830, New Orleans, LA 70170

Phone number

(504) 533-7377

Established

Louisiana since 04/01/2000

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CAPITAL ONE FINANCIAL CORPORATION	100% SHAREHOLDER
GIBNEY, JOSEPH DONOUGH	DIRECTOR	3117394
HALPRIN, GABRIELLE BAILLEUX	CHIEF FINANCIAL OPERATIONS OFFICER (FINOP)	5087341
JOHNSON, RUSSELL ALAN	DIRECTOR	2785704
KUCERA, DAVID JOHN	DIRECTOR	2598213
MULLIGAN, ROBERT	CHIEF COMPLIANCE OFFICER	1584973
NAKAMURA, SEIJI PETER	DIRECTOR	2561992
PORPHY, JEFFREY R	DIRECTOR	4107535
TULIP, STEVEN ANDREW	PRESIDENT AND DIRECTOR	2540149

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Gregory D. Guest

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gregory Dale Guest's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVIDITI FINANCIAL, LLC

BA SECURITIES, LLC

MCS CAPITAL MARKETS LLC

KKR CAPITAL MARKETS LLC

SALOMON BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/2/1998

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/21/1997

FINRA

Nasdaq Stock Market

Current Firm

CAPITAL ONE SECURITIES, INC.

Contact information

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAPITAL ONE SECURITIES, INC.

TRUST BUT VERIFY

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