AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
ED

Eleanor A. De Guigne

NORTH POINT MERGERS AND ACQUISITIONS
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 5793103
ED

Professional summary

Eleanor Anne De Guigne is a registered financial professional currently at NORTH POINT MERGERS AND ACQUISITIONS, INC. located in San Francisco, California.

Eleanor is registered as a RR (Registered Representative) and started their career in finance in 2015. Eleanor has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eleanor Anne De Guigne's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 12, 2023 - Present

NORTH POINT MERGERS AND ACQUISITIONS, INC.

Office #1: 580 California Street Suite 2200, San Francisco, CA 94104
BD
CRD#: 133300
San Francisco, CA
Past

March 27, 2019 - November 18, 2022

COWEN AND COMPANY

BD
CRD#: 7616
San Francisco, CA
Past

February 17, 2015 - March 4, 2019

CITIZENS JMP SECURITIES, LLC

BD
CRD#: 22208
SAN FRANCISCO, CA

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
California
(7/12/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 6/30/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/15/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 2/17/2015
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NP
NORTH POINT MERGERS AND ACQUISITIONS, INC.
NORTH POINT ADVISORS, INC. | NORTH POINT MERGERS AND ACQUISITIONS, INC. | NORTH POINT ADVISORS, LLC

CRD#: 133300 / SEC#: , 8-66709

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
580 California Street, Suite 2200, San Francisco, CA 94104
Mailing Address
580 California Street, Suite 2200, San Francisco, CA 94104
Phone number
(415) 358-3500
Established
Delaware since 12/19/2018
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NORTH POINT LLCOWNER ENTITY
COLE, GARRISON ALLENCO-CFO7895314
JACQUIN, DAVID M JRCEO, CCO, POO, PFO2380441
POSTREL, HELENE BERSONFINOP2240945

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.

Company Information

NORTH POINT MERGERS AND ACQUISITIONS, INC.

CRD#: 133300San Francisco, CA 94104

TRUST BUT VERIFY

Monitor Eleanor De Guigne

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

AG
Adam GreenAdvisorCheck Check Mark
J.P. MORGAN SECURITIES LLC
IAR
RR
SAN MATEO, CA
MS
Maximilian SoaresAdvisorCheck Check Mark
J.P. MORGAN SECURITIES LLC
RR
San Francisco, CA
Jason Guo Quan Fang
Jason FangAdvisorCheck Check Mark
TERRAFIRMA WEALTH PARTNERS
IAR
WALNUT CREEK, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.