Christopher S. Guerrieri

EAST WIND SECURITIES

New York, NY 10019

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CRD#: 6213234

Professional summary

Christopher Salvatore Guerrieri is a registered financial professional currently at EAST WIND SECURITIES, LLC located in New York, New York.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2014. Christopher has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 Christopher Salvatore Guerrieri'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

June 22, 2021 - Present

EAST WIND SECURITIES, LLC

Office #1: 810 Seventh Avenue 35th Floor, New York, NY 10019

CRD#: 148032

New York, NY

Past

November 11, 2016 - January 29, 2020

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NEW YORK, NY

Past

August 4, 2016 - October 21, 2016

EQUITY SERVICES, INC.

CRD#: 265

HANOVER, NJ

Past

May 4, 2015 - August 2, 2016

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

ROSELAND, NJ

Past

July 2, 2014 - May 8, 2015

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(6/22/2021)

Exams

State Security Law Exam

Series 63

Date: 7/11/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/2/2014

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EAST WIND SECURITIES, LLC

CRD#: 148032 / SEC#: , 8-67955

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

810 Seventh Avenue 35th Floor, New York, NY 10019

Mailing Address

810 Seventh Avenue 35th Floor, New York, NY 10019

Phone number

(646) 202-1500

Established

New York since 04/08/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (12 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
EAST WIND HOLDINGS, LLC	SHAREHOLDER
ROTHSCHILD, PETER HOWARD	GENERAL SECURITIES PRINCIPAL	1291471
SCHWARTZ, JOSHUA NATHANIEL	CEO, MANAGING PARTNER, CCO, EXEC. REP.	2556740
SINGER, STEVEN FREDERIC	FINOPS, PFO & POO	2360737

Red Flags

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Christopher S. Guerrieri

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Salvatore Guerrieri's CRS (Customer Relationship Summary).

Certified licenses

Experience

EAST WIND SECURITIES, LLC

SANFORD C. BERNSTEIN & CO., LLC

EQUITY SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/11/2014

SIE

Date: 10/1/2018

Series 7

Date: 7/2/2014

FINRA

Current Firm

EAST WIND SECURITIES, LLC

Contact information

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

EAST WIND SECURITIES, LLC

TRUST BUT VERIFY

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