Warren J. Gouk
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.
Warren James Gouk was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 2000. Warren had worked at 2 firms and has passed the Series 63 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - March 23, 2017
STONEBRIDGE SECURITIES LLC
November 22, 2000 - October 14, 2010
CASCADIA CAPITAL, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
STONEBRIDGE SECURITIES LLC
CRD#: 47659 / SEC#: , 8-51851
Contact information
FINRA licenses (16 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENDRICKSON, MICHAEL ALLAN | MANAGING PRINCIPAL& CHIEF COMPLIANCE OFFICER | 242948 |
Red Flags
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