Guenther A. Pahlke
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.
Guenther Albert Pahlke, who also goes by Gunther A Pahlke, was a registered financial professional .
Guenther is a previously registered financial professional and started their career in finance in 1970. Guenther had worked at 10 firms and has passed the Series 3, PC, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2008 - May 2, 2019
CLEARVIEW TRADING ADVISORS, INC.
November 26, 2007 - June 30, 2008
WELLS FARGO SECURITIES, LLC
August 26, 2003 - November 26, 2007
A. G. EDWARDS & SONS, INC.
May 12, 2000 - May 16, 2003
COWEN AND COMPANY
July 1, 1991 - May 22, 2000
SCHRODER & CO. INC.
May 19, 1982 - July 18, 1991
CREDIT SUISSE SECURITIES (USA) LLC
August 1, 1981 - June 17, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
May 19, 1978 - August 1, 1981
KIDDER, PEABODY & CO. INCORPORATED
May 20, 1974 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
January 21, 1970 - July 21, 1974
BLYTH EASTMAN DILLON & CO. INCORPORATED
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
PC
Date: 8/15/1977
AMEX Put and Call ExamSeries 1
Date: 1/30/1969
Registered Representative ExaminationSeries 40
Date: 4/15/1978
Registered Principal ExaminationSeries 12
Date: 3/2/1972
NYSE Branch Manager ExaminationCurrent Firm
CLEARVIEW TRADING ADVISORS, INC.
CRD#: 142873 / SEC#: , 8-67501
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
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