Javier Guzman-aguirre
Professional summary
Javier Guzman-aguirre is a registered financial professional currently at RABO SECURITIES USA, INC. located in New York, New York.
Javier is registered as a RR (Registered Representative) and started their career in finance in 2011. Javier has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Javier Guzman-aguirre's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 10, 2021 - Present
RABO SECURITIES USA, INC.
Office #1: 151 West 42nd Street 8th Floor, New York, NY 10036July 28, 2020 - February 10, 2021
BNP PARIBAS SECURITIES CORP.
June 2, 2016 - July 29, 2020
RABO SECURITIES USA, INC.
February 4, 2011 - April 20, 2016
DEUTSCHE BANK SECURITIES 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
(6/26/2024)
(3/10/2021)
Exams
Series 7TO
Date: 9/11/2020
General Securities Representative ExaminationFINRA
Current Firm
RABO SECURITIES USA, INC.
CRD#: 122657 / SEC#: , 8-65525
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UTRECHT-AMERICA HOLDINGS, INC | SOLE SHAREHOLDER | |
| AMIN, SHREYA | SECRETARY | 7368182 |
| BASSETT, DAVID FRANCIS | CHAIRMAN | 2802027 |
| CHESTER, WILLIAM PETER | DIRECTOR | 5868288 |
| DEMAZURE PELLETIER, CHRISTINE MARIE | DIRECTOR | 5481370 |
| KITTEL, CHRISTOPHER FREDERICK | CHIEF COMPLIANCE OFFICER | 2718043 |
| KORMANEK, SHAWN PATRICK | DIRECTOR | 7310810 |
| LAMPER, KATHERINE S | DIRECTOR | 5202959 |
| LAZAROV, DUSAN OBRAD | DIRECTOR | 7904295 |
| MARTENS, ANDREA MARIE | FINANCIAL AND OPERATIONS PRINCIPAL | 1187593 |
| PASDAR, NADER | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4702711 |
Red Flags
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