GA
Guillaume D. Auvray
FORESIDE GLOBAL SERVICES
New York, NY 10017
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CRD#: 4479395
GA
Professional summary
Guillaume Dominique Auvray, who also goes by Guillaume Auvray, is a registered financial professional currently at FORESIDE GLOBAL SERVICES, LLC located in New York, New York.
Guillaume is registered as a RR (Registered Representative) and started their career in finance in 2002. Guillaume has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Guillaume Auvray
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.
CRS (Client Relationship Summary) - BD
Click below to view Guillaume Dominique Auvray's 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®
NoneExperience
Current
January 29, 2021 - Present
FORESIDE GLOBAL SERVICES, LLC
Office #1: One Vanderbilt Avenue 65th Floor, New York, NY 10017BD
CRD#: 147382
New York, NY
Past
January 7, 2021 - January 29, 2021
FLOURISH FINANCIAL LLC
BD
CRD#: 293019
NEW YORK, NY
Past
September 4, 2019 - December 31, 2020
FLOURISH FINANCIAL LLC
BD
CRD#: 293019
NEW YORK, NY
Past
February 2, 2018 - September 6, 2019
FORESIDE GLOBAL SERVICES, LLC
BD
CRD#: 147382
New York, NY
Past
August 14, 2017 - February 2, 2018
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
New York, NY
Past
June 15, 2015 - August 14, 2017
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
February 11, 2013 - May 19, 2015
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
April 26, 2004 - January 9, 2013
SG AMERICAS SECURITIES, LLC
BD
CRD#: 128351
NEW YORK, NY
Past
February 5, 2002 - April 26, 2004
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
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
Alabama(1/29/2021)
RR
Alaska(1/29/2021)
RR
Arizona(1/29/2021)
RR
Arkansas(1/29/2021)
RR
California(1/29/2021)
RR
Colorado(1/29/2021)
RR
Connecticut(1/29/2021)
RR
Delaware(1/29/2021)
RR
District of Columbia(1/29/2021)
RR
Florida(1/29/2021)
RR
Georgia(1/29/2021)
RR
Hawaii(1/29/2021)
RR
Idaho(1/29/2021)
RR
Illinois(1/29/2021)
RR
Indiana(1/29/2021)
RR
Iowa(1/29/2021)
RR
Kansas(1/29/2021)
RR
Kentucky(1/29/2021)
RR
Louisiana(1/29/2021)
RR
Maine(1/29/2021)
RR
Maryland(1/29/2021)
RR
Massachusetts(1/29/2021)
RR
Michigan(1/29/2021)
RR
Minnesota(1/29/2021)
RR
Mississippi(1/29/2021)
RR
Missouri(1/29/2021)
RR
Montana(1/29/2021)
RR
Nebraska(1/29/2021)
RR
Nevada(1/29/2021)
RR
New Hampshire(1/29/2021)
RR
New Jersey(1/29/2021)
RR
New Mexico(1/29/2021)
RR
New York(1/29/2021)
RR
North Carolina(1/29/2021)
RR
North Dakota(1/29/2021)
RR
Ohio(1/29/2021)
RR
Oklahoma(1/29/2021)
RR
Oregon(1/29/2021)
RR
Pennsylvania(1/29/2021)
RR
Puerto Rico(1/29/2021)
RR
Rhode Island(1/29/2021)
RR
South Carolina(1/29/2021)
RR
South Dakota(1/29/2021)
RR
Tennessee(1/29/2021)
RR
Texas(1/29/2021)
RR
Utah(1/29/2021)
RR
Vermont(1/29/2021)
RR
Virgin Islands(1/29/2021)
RR
Virginia(1/29/2021)
RR
Washington(1/29/2021)
RR
West Virginia(1/29/2021)
RR
Wisconsin(1/29/2021)
RR
Wyoming(1/29/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FG
FORESIDE GLOBAL SERVICES, LLC
FORESIDE GLOBAL SERVICES, LLC | RJB DISTRIBUTORS, LLC | HIGHMARK FUNDS DISTRIBUTORS, LLC | HIGHMARK FUNDS DISTRIBUTORS, INC. | FUND SOURCE US, LLC
CRD#: 147382 / SEC#: , 8-67903
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VP/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
