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Roberto A. Deguardiola

Some features on this profile are disabled
CRD#: 64123
RD

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.

Roberto Alejandro Deguardiola JR, who also goes by Robert Alexander Deguardiola Jr, Roberto A Deguardiola Jr, Roberto Alexander Deguardiola Jr, was a registered financial professional .

Roberto is a previously registered financial professional and started their career in finance in 1970. Roberto had worked at 9 firms and has passed the SIE, Series 7, Series 1, Series 24 and Series 40 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert Alexander Deguardiola Jr | Roberto A Deguardiola Jr | Roberto Alexander Deguardiola Jr

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 6, 2000 - July 8, 2019

DE GUARDIOLA ADVISORS, LLC

BD
CRD#: 104146
WEST PALM BEACH, FL
Past

May 26, 1999 - April 13, 2000

NATIONAL BANK OF CANADA FINANCIAL INC.

BD
CRD#: 22698
NEW YORK, NY
Past

November 29, 1989 - December 19, 1989

FIRST ASSET MANAGEMENT, INC.

BD
CRD#: 17341
GARDEN CITY, NY
Past

May 30, 1986 - December 4, 1987

KLEINWORT BENSON NORTH AMERICA INC.

BD
CRD#: 5087
Past

May 20, 1982 - May 22, 1986

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

February 22, 1978 - May 17, 1982

LEHMAN BROTHERS KUHN LOEB INCORPORATED

BD
CRD#: 7555
Past

June 22, 1976 - February 22, 1978

KUHN LOEB & CO. INCORPORATED

BD
CRD#: 2485
Past

June 22, 1976 - January 2, 1979

KUHN, LOEB & CO. INTERNATIONAL

BD
CRD#: 2486
Past

July 16, 1970 - June 6, 1976

KIDDER, PEABODY & CO., INCORPORATED

BD
CRD#: 488

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/25/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 7/7/1970
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/8/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 4/15/1975
Registered Principal Examination

Current Firm

DG
DE GUARDIOLA ADVISORS, LLC
DE GUARDIOLA ADVISORS, INC. | DE GUARDIOLA ADVISORS, LLC

CRD#: 104146 / SEC#: , 8-52632

BD
Terminated by SEC on 07/05/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 12/31/2014
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DEGUARDIOLA, ROBERTO ALEJANDRO JRPRESIDENT64123
MCCABE, EDWARD ANTHONYFINOP/CCO1252538

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

DE GUARDIOLA ADVISORS, LLC

CRD#: 104146

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