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TG

Thomas F. Guinan

AMERICAN VETERANS GROUP, PBC
Melville, NY 11747
Some features on this profile are disabled
CRD#: 4251219
TG

Professional summary

Thomas F Guinan, who also goes by Thomas F Guinan Jr., Thomas F Guinan, Tom Guinan, is a registered financial professional currently at AMERICAN VETERANS GROUP, PBC located in Melville, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 7 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas F Guinan Jr. | Thomas F Guinan | Tom Guinan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas F Guinan's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 18, 2021 - Present

AMERICAN VETERANS GROUP, PBC

Office #1: 324 S. Service Road Suite 107, Melville, NY 11747
BD
CRD#: 291933
Melville, NY
Past

August 10, 2020 - April 14, 2021

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

March 15, 2016 - February 14, 2020

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

March 1, 2013 - September 10, 2015

SANTANDER US CAPITAL MARKETS LLC

BD
CRD#: 150696
NEW YORK, NY
Past

December 21, 2010 - March 7, 2013

PIERPONT CAPITAL ADVISORS LLC

BD
CRD#: 108424
NEW YORK, NY
Past

August 19, 2009 - May 5, 2010

PIERPONT CAPITAL ADVISORS LLC

BD
CRD#: 108424
NEW YORK, NY
Past

September 9, 2005 - January 29, 2009

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

October 13, 2000 - September 9, 2005

PERSHING ADVISOR SOLUTIONS LLC

BD
CRD#: 36671
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(4/18/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 11/1/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 1/30/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/12/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/29/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AV
AMERICAN VETERANS GROUP, PBC
AMERICAN VETERANS GROUP, PBC

CRD#: 291933 / SEC#: , 8-70063

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
324 S. Service Road Suite 107, Melville, NY 11747
Mailing Address
324 S. Service Road Suite 107, Melville, NY 11747
Phone number
(646) 933-8387
Established
Delaware since 10/20/2017
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BILES, WILLIAM BCHAIRMAN / CEO6509954
AMERICAN VETS GROUP FOUNDATION, INC.SHAREHOLDER
FRAZIER, WILLIAM HENRYPARTNER1031058
KURTZER, JARED MICHAELMANAGING PARTNER2726672
CARROLL, PAUL COURTNEYCHIEF COMPLIANCE OFFICER4655374
NIXON, JON ALANFINOP

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.

Company Information

AMERICAN VETERANS GROUP, PBC

CRD#: 291933Melville, NY 11747

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