Gabriel J. Guerrero
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.
Gabriel Joseph Guerrero was a registered financial professional .
Gabriel is a previously registered financial professional and started their career in finance in 1981. Gabriel had worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2003 - July 8, 2003
W. H. COLSON SECURITIES, INC.
January 7, 2002 - December 31, 2014
GUERRERO FINANCIAL SERVICES
September 25, 2000 - December 31, 2002
NORTHEAST SECURITIES, LLC
February 5, 1999 - September 25, 2000
BRECEK & YOUNG ADVISORS, INC.
March 14, 1996 - September 16, 1998
OSAIC WEALTH, INC.
May 14, 1992 - January 11, 1996
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
June 29, 1981 - February 7, 1991
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
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
W. H. COLSON SECURITIES, INC.
CRD#: 117789 / SEC#: , 8-53621
Contact information
Documents
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.
