Guy C. Durand
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 Christian Durand JR was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1999. Guy had worked at 14 firms and has passed the Series 63, SIE 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
June 14, 2016 - August 26, 2019
ALEXANDER CAPITAL, L.P.
May 18, 2011 - June 22, 2016
GLOBAL EMERGING CAPITAL GROUP, LLC
September 28, 2010 - April 13, 2011
FIRST MERGER CAPITAL, INC
March 18, 2009 - January 26, 2010
SEABOARD SECURITIES, INC.
October 29, 2008 - March 17, 2009
MARTINEZ-AYME SECURITIES
October 23, 2007 - October 24, 2008
BASIC INVESTORS INC.
May 5, 2004 - January 24, 2007
NEW YORK GLOBAL SECURITIES, INC.
December 21, 2001 - April 29, 2004
EKN FINANCIAL SERVICES INC.
October 22, 2001 - December 21, 2001
EHRENKRANTZ KING NUSSBAUM
May 15, 2001 - October 22, 2001
WEATHERLY SECURITIES CORPORATION
January 10, 2001 - May 17, 2001
JOSEPH STEVENS & CO., INC.
October 11, 2000 - December 12, 2000
MAGNUM SECURITIES OF NEW YORK INC.
April 24, 2000 - August 30, 2000
WHITEHALL WELLINGTON INVESTMENTS, INC.
July 19, 1999 - May 9, 2000
CAMBRIDGE CAPITAL, LLC
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
ALEXANDER CAPITAL, L.P.
CRD#: 40077 / SEC#: , 8-48957
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SENA MANAGEMENT LLC | PARTNER | |
| JSEC INC | PARTNER | |
| SALKIND, CATHERINE P | PARTNER | 7021439 |
| RUGGIERE, JOSEPH MATTHEW | PARTNER | 2548108 |
| RUGGIERE, WAYNE NMN | PARTNER | 7200730 |
| SALKIND, GENE Z | PARTNER | 7021417 |
| AMATO, JOSEPH ANTHONY | CEO | 2751635 |
| ELDREDGE, MICHAEL WILLIAM | BRANCH MANAGER ATL OFFICE | 2903014 |
| FAUCI, JODI | GENERAL SECS PRINCIPAL | 4189732 |
| FEMIANO, JOHN FRANCIS | GENERAL SECS PRINCIPAL, ANNUUITIES PRINCIPAL | 2132030 |
| FRANCONE, VITO ANTONIO II | COMPLIANCE ASSOCIATE | 2349326 |
| GUIDICIPIETRO, ROCCO GERARD | COO | 2489732 |
| KRISPEAL, RAQUEL E | SENIOR COMPLIANCE OFFICER, BRANCH MANAGER | 5733217 |
| MARTORANO, CARL MARIO | BRANCH MANAGER/OPERATIONS MANAGER/ROSFP | 2286051 |
| MESSINA, PAUL MICHAEL | GENERAL SECS PRINCIPAL, ROSFP, CO-MSRB PRINCIPAL | 5897543 |
| MISITI, MICHELE ANN | CHIEF COMPLIANCE OFFICER - ROSFP - AML OFFICER | 1931272 |
| ROTH, BARBARA NMN | PARTNER | 7200728 |
| SKOVRONCK, JEANPAUL CHARLES | DESIGNATED SUPERVISOR, DEPUTY AML OFFICER | 2744738 |
| STACK, TIMOTHY | SENIOR COMPLIANCE OFFICER | 1426363 |
| STAFFORD, LAWRENCE ROBERT | CHIEF TECHNOLOGY OFFICER | 7046577 |
| SULLIVAN, THOMAS FRANCIS | FINOP/CHIEF FINANCIAL OFFICER/CO-MSRB PRINCIPAL | 1145000 |
| THE SALKIND FAMILY FOUNDATION | PARTNER |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 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.
