Jesse Guglielmo
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.
Jesse Guglielmo was a registered financial professional .
Jesse is a previously registered financial professional and started their career in finance in 2001. Jesse had worked at 3 firms and has passed the Series 63, Series 3, Series 7, Series 21, Series 25 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
August 17, 2007 - February 12, 2014
BLOOMBERG TRADEBOOK LLC
October 19, 2001 - January 3, 2007
LABRANCHE & CO. LLC
April 16, 2001 - October 24, 2001
BOCKLET & COMPANY, 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
Exams
Series 21
Date: 2/12/2003
NYSE Front Line Specialist ClerkSeries 25
Date: 10/22/2001
NYSE Trading Assistant ExaminationCurrent Firm
BLOOMBERG TRADEBOOK LLC
CRD#: 40881 / SEC#: , 8-49219
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 9 |
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.
