Daniel R. Guay
Professional summary
Daniel Robert Guay is a registered financial professional currently at QUINCY CASS ASSOCIATES, INCORPORATED located in Los Angeles, California.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2000. Daniel has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Robert Guay's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 19, 2012 - Present
QUINCY CASS ASSOCIATES, INCORPORATED
Office #1: 11111 Santa Monica Blvd Suite 1650, Los Angeles, CA 90025November 8, 2001 - August 25, 2010
IMPERIAL CAPITAL ASSET MANAGEMENT LLC
March 1, 2000 - August 29, 2011
IMPERIAL 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
(9/19/2012)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
QUINCY CASS ASSOCIATES, INCORPORATED
CRD#: 686 / SEC#: , 8-5743
Contact information
FINRA licenses (11 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Bond | 1 |
Red Flags
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