Stephanie C. Rounds
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.
Stephanie Christine Rounds, who also goes by Stephanie Christine Davis, Stephanie Davis, Stephanie Shirer, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 2002. Stephanie had worked at 3 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2005 - August 31, 2005
GUARANTY BROKERAGE SERVICES, INC.
February 5, 2003 - January 26, 2004
CITICORP INVESTMENT SERVICES
July 3, 2002 - February 5, 2003
CAL FED INVESTMENTS
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
Current Firm
GUARANTY BROKERAGE SERVICES, INC.
CRD#: 23302 / SEC#: , 8-40258
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRIMEVEST FINANCIAL SERVICES, INC. | SOLE SHAREHOLDER | 15340 |
| BONNEAU, CATHERINE MCCORMACK | PRESIDENT, CHAIRMAN, CEO AND DIRECTOR | 2899706 |
| BURNS, MICHAEL DENNIS | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND SECRETARY | 2030617 |
| CASEY, SEAN PATRICK | VICE PRESIDENT, DIRECTOR OF BUSINESS DEVELOPMENT | 2156290 |
| DILLON, LADONNA JEAN | ASSISTANT VICE PRESIDENT | 1076897 |
| HOLWEGER, KIMBERLEY ANN | VICE PRESIDENT AND DIRECTOR OF OPERATIONS | 1572778 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT AND DIRECTOR OF TRADING | 1961258 |
| RUMMELMCCOOL, LEANN RENEE | DIRECTOR, VICE PRESIDENT AND NATIONAL SALES DIRECTOR | 1965155 |
| SHELSON, MARK PAUL | DIRECTOR, VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 1 |
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.
