Nicholas L. Guarino
Professional summary
Nicholas Lee Guarino, who also goes by Nicholas Lee Guarino, Nicholas Guarino, Nick Guarino, is a registered financial professional currently at MCNALLY CAPITAL SECURITIES, LLC located in Chicago, Illinois.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2019. Nicholas has worked at 3 firms and has passed the Series 63, Series 65, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Lee Guarino's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 6, 2022 - Present
MCNALLY CAPITAL SECURITIES, LLC
Office #1: 151 N. Franklin Street Suite 2650, Chicago, IL 60606August 9, 2021 - November 4, 2022
TRUIST SECURITIES, INC.
January 3, 2019 - September 13, 2019
CWM, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/6/2022)
Exams
Series 79TO
Date: 8/9/2021
Investment Banking Registered Representative ExaminationFINRA
Current Firm
MCNALLY CAPITAL SECURITIES, LLC
CRD#: 159725 / SEC#: , 8-69010
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCNALLY CAPITAL, LLC | SOLE MEMBER | |
| LENART, BRIAN DOUGLAS | CHIEF COMPLIANCE OFFICER, AMLCO, EXECUTIVE REPRESENTATIVE, CFO, FINOP, PFO/POO | 736107 |
Red Flags
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