Guy D. Burgoon
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.
Guy Donald Burgoon, who also goes by Guy Donald Burloon, was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1998. Guy had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2008 - February 1, 2012
KINSELL, NEWCOMB & DE DIOS, INC
May 29, 2003 - March 2, 2006
GEORGE K. BAUM & COMPANY
November 8, 2001 - February 21, 2003
BANC OF AMERICA SECURITIES LLC
August 25, 1999 - October 2, 2001
BANC ONE CAPITAL MARKETS, INC.
September 15, 1998 - September 30, 1998
HILLTOP SECURITIES INC.
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
KINSELL, NEWCOMB & DE DIOS, INC
CRD#: 16427 / SEC#: , 8-33949
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KND HOLDINGS, INC. | SOLE SHAREHOLDER | |
| KINSELL, JAMES JEFFERY | DIRECTOR AND PRESIDENT AND CCO | 270376 |
Disclosures
| Regulatory Event | 1 |
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.
