Andrew M. Guinan
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.
Andrew Marshall Guinan was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2003. Andrew had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2010 - September 13, 2013
LEK SECURITIES CORPORATION
January 8, 2007 - January 8, 2018
JAMES E. COFFEY SECURITIES, INC.
November 13, 2006 - January 3, 2007
INTEGRA SECURITIES CORP.
July 1, 2005 - November 30, 2006
FIMAT PREFERRED LLC
August 30, 2004 - July 1, 2005
PREFERREDTRADE, INC.
February 21, 2003 - August 31, 2004
MOORS & CABOT, INC.
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 25
Date: 8/5/2003
NYSE Trading Assistant ExaminationCurrent Firm
LEK SECURITIES CORPORATION
CRD#: 33135 / SEC#: , 8-42152
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 42 |
| Civil Event | 1 |
| Arbitration | 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.
