Alexis Guichard
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.
Alexis Guichard was a registered financial professional .
Alexis is a previously registered financial professional and started their career in finance in 2000. Alexis had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 55 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2018 - June 30, 2020
OTCEX, LLC
August 25, 2009 - January 10, 2012
MYD MARKET, INC
November 1, 2005 - March 26, 2008
TRADITION SECURITIES AND DERIVATIVES LLC
January 2, 2003 - November 3, 2005
REFCO SECURITIES, LLC
July 24, 2000 - July 3, 2001
FIRST NEW YORK SECURITIES L.L.C.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 2/1/2001
Limited Representative-Equity Trader ExamCurrent Firm
OTCEX, LLC
CRD#: 165046 / SEC#: , 8-69129
Contact information
Documents
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.
