James H. Guarino
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.
James Henry Guarino, CFP® was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 5 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2007 - January 3, 2019
MFA ASSET MANAGEMENT, LLC
March 27, 2006 - December 19, 2006
OGILVIE SECURITY ADVISORS CORPORATION
March 23, 2006 - December 19, 2006
OGILVIE SECURITY ADVISORS CORPORATION
January 1, 2005 - April 6, 2005
SENTINEL SECURITIES, LLC.
November 23, 2001 - January 6, 2003
CHOREO, LLC
November 1, 2001 - January 7, 2003
BIRCHTREE FINANCIAL SERVICES LLC
State Registrations and Notice Filings
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Exams
Current Firm
MFA ASSET MANAGEMENT, LLC
CRD#: 133164 / SEC#: 801-66132
Contact information
Red Flags
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