Guy G. Vanmiddlesworth
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 Graham Vanmiddlesworth, who also goes by Guy Graham Van Middlesworth, Guy G Vanmiddlesworth, was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1999. Guy had worked at 4 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2018 - March 27, 2018
MUTUAL TRUST ASSET MGMT., INC.
April 18, 2017 - March 27, 2018
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
June 20, 2014 - February 21, 2017
AVANTAX INVESTMENT SERVICES, INC.
January 13, 2000 - March 12, 2014
AVANTAX ADVISORY SERVICES
October 1, 1999 - March 12, 2014
AVANTAX INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
MUTUAL TRUST ASSET MGMT., INC.
CRD#: 121364 / SEC#: 801-111062
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
MUTUAL TRUST ASSET MGMT., INC.
CRD#: 121364 / SEC#: 801-111062
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 92 |
| AUM (Assets Under Management) | $ 57,396,568 |
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.
