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GG

Guy Gaona

Some features on this profile are disabled
CRD#: 3179273
GG

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 Gaona was a registered financial professional .

Guy is a previously registered financial professional and started their career in finance in 1999. Guy had worked at 11 firms and has passed the Series 63 and Series 7 exams.

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

August 13, 2009 - May 17, 2010

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
EAST SETAUKET, NY
Past

April 9, 2009 - August 20, 2009

AURA FINANCIAL SERVICES, INC.

BD
CRD#: 42822
EAST SETAUKET, NY
Past

June 27, 2008 - October 6, 2008

J.D. NICHOLAS & ASSOCIATES, INC.

BD
CRD#: 44791
SYOSSET, NY
Past

November 13, 2006 - March 11, 2008

ITRADEDIRECT.COM CORP

BD
CRD#: 18281
SELDEN, NY
Past

May 11, 2005 - October 4, 2005

BASIC INVESTORS INC.

BD
CRD#: 1187
MELVILLE, NY
Past

August 3, 2004 - October 7, 2004

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

BD
CRD#: 43177
ATLANTA, GA
Past

March 19, 2004 - July 22, 2004

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

May 5, 2003 - January 21, 2004

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY
Past

March 31, 2003 - May 5, 2003

AMERICAN CAPITAL PARTNERS, LLC

BD
CRD#: 119249
HAUPPAUGE, NY
Past

September 4, 2002 - January 7, 2003

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

April 26, 2002 - August 28, 2002

HARRISON SECURITIES, INC.

BD
CRD#: 14103
PORT WASHINGTON, NY
Past

November 12, 1999 - May 17, 2002

SEABOARD SECURITIES, INC.

BD
CRD#: 755
FLORHAM PARK, NJ

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
Series 63
Date: 2/17/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/11/1999
General Securities Representative Examination

Current Firm

RG
ROCKWELL GLOBAL CAPITAL LLC
ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485 / SEC#: , 8-67467

BD
Terminated by SEC on 02/14/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/21/2005
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GUARINO, BRUCE JUDEOPERATING OFFICER1096719
GUARINO, DOUGLAS JOSEPHCCO1771389

Disclosures

Regulatory Event1
Arbitration7

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.

Company Information

ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485

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