Daniel J. Guillory
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.
Daniel Joseph Guillory, CFP®, who also goes by Daniel Guillory, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2018. Daniel had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2020 - July 13, 2020
AVION WEALTH
September 25, 2018 - October 4, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 3, 2018 - October 4, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Primary Firm SEC Registration
AVION WEALTH
CRD#: 134242 / SEC#: 801-99351
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AVION WEALTH
CRD#: 134242 / SEC#: 801-99351
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,523 |
| AUM (Assets Under Management) | $ 848,721,665 |
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.
