John V. Guarino
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.
John Vincent Guarino was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2000. John had worked at 7 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2013 - September 9, 2014
QUAD SECURITIES LLC
January 7, 2009 - July 30, 2014
QUAD CAPITAL, LLC
February 2, 2007 - December 31, 2008
LIGHTHOUSE FINANCIAL GROUP, LLC
August 19, 2005 - January 24, 2007
FIS BROKERAGE & SECURITIES SERVICES LLC
April 21, 2003 - September 5, 2003
RBC CAPITAL MARKETS, LLC
September 9, 2002 - April 10, 2003
GOLDMAN SACHS & CO. LLC
October 10, 2000 - September 9, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
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
Series 55
Date: 10/23/2000
Limited Representative-Equity Trader ExamCurrent Firm
QUAD SECURITIES LLC
CRD#: 163463 / SEC#: , 8-69075
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| QUAD ADVISORS, LLC | OWNER | |
| ABRAMS, MEREDITH JANE | CHIEF COMPLIANCE OFFICER | |
| RUBACKY, PAUL IGNATIAUS | C.F.O./SMD | 1671097 |
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.
