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TG

Thomas A. Guerriero

Some features on this profile are disabled
CRD#: 3116678
TG

Professional summary

Thomas Anthony Guerriero was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Thomas had worked at 14 firms, which includes OXFORD CITY INVESTMENTS LLC, NAOK ADVISORS, WINDSOR STREET CAPITAL LP, JHS CAPITAL ADVISORS LLC, THINKEQUITY LLC, REUVEN ENTERPRISES SECURITIES DIVISION LLC, JOSEPH STEVENS & CO. INC., THOMAS ANTHONY & ASSOCIATES INC., LIBERTY PARTNERS FINANCIAL SERVICES LLC, AURA FINANCIAL SERVICES INC., J.P. TURNER & COMPANY L.L.C., FIRST MONTAUK SECURITIES CORP., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, LCP CAPITAL CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 30, 2012 - June 30, 2014

OXFORD CITY INVESTMENTS, LLC

RIA
CRD#: 164463
DEERFIELD BEACH, FL
Past

February 4, 2010 - March 4, 2011

NAOK ADVISORS

RIA
CRD#: 152409
NEW YORK, NY
Past

April 21, 2009 - August 20, 2010

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

November 4, 2008 - December 1, 2008

JHS CAPITAL ADVISORS, LLC

BD
CRD#: 112097
TAMPA, FL
Past

April 25, 2008 - October 8, 2008

THINKEQUITY LLC

BD
CRD#: 20996
NEW YORK, NY
Past

January 15, 2008 - May 23, 2008

REUVEN ENTERPRISES SECURITIES DIVISION, LLC

BD
CRD#: 140910
NEW YORK, NY
Past

June 4, 2007 - January 10, 2008

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
BROOKLYN, NY
Past

February 7, 2007 - January 15, 2008

THOMAS ANTHONY & ASSOCIATES , INC.

BD
CRD#: 142090
WINTER PARK, FL
Past

October 3, 2006 - December 8, 2006

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
RALEIGH, NC
Past

May 2, 2005 - October 3, 2006

AURA FINANCIAL SERVICES, INC.

BD
CRD#: 42822
NEW YORK, NY
Past

December 6, 2001 - June 25, 2002

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

May 30, 2001 - November 27, 2001

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

April 28, 2000 - May 31, 2001

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

May 10, 1999 - April 20, 2000

LCP CAPITAL CORP.

BD
CRD#: 14469
STATEN ISLAND, NY
Past

September 30, 1998 - April 19, 1999

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/6/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/15/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/29/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/24/2006
General Securities Principal Examination

Current Firm

OC
OXFORD CITY INVESTMENTS, LLC
FIRST FIDELITY ADVISORS, LLC | FIRST WEALTH ADVISORS, LLC | FIRST WEALTH ADVISORS, LLP | OXFORD CITY INVESTMENTS, LLC | WMX WEALTH ADVISORS, LLC

CRD#: 164463 / SEC#:

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Contact information

Main Address
Deerfield Beach, FL
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

OXFORD CITY INVESTMENTS, LLC

CRD#: 164463

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