SG
Shane M. Guenther
QUADRIGA SECURITIES
Denver, CO 80206
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CRD#: 6796296
SG
Professional summary
Shane M Guenther is a registered financial professional currently at QUADRIGA SECURITIES, LLC located in Denver, Colorado.
Shane is registered as a RR (Registered Representative) and started their career in finance in 2018. Shane has worked at 1 firm and has passed the SIE and Series 79 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Shane M Guenther's 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®
NoneExperience
Current
January 24, 2018 - Present
QUADRIGA SECURITIES, LLC
Office #1: 44 Cook Street Suite 255, Denver, CO 80206BD
CRD#: 153861
Denver, CO
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
Colorado(8/14/2024)
Exams
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
QS
QUADRIGA SECURITIES, LLC
QUADRIGA SECURITIES, LLC
CRD#: 153861 / SEC#: , 8-68580
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
44 Cook Street Suite 255, Denver, CO 80206
Mailing Address
44 Cook Street Suite 255, Denver, CO 80206
Phone number
(303) 495-5514
Established
Colorado since 01/11/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
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.
