Flor Guerra
Professional Summary
Flor Guerra, who also goes by Flor De Maria Guerra, is a registered financial advisor currently at DEUTSCHE BANK SECURITIES INC. located in Miami, Florida. Flor is registered as a RR (Registered Representative) and started their career in finance in 2022. Flor has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Flor De Maria Guerra
Similar Advisors
SUMMIT FINANCIAL, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SUMMIT FINANCIAL, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SUMMIT FINANCIAL, LLC
Disclosures on record.
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.
Similar Advisors
SUMMIT FINANCIAL, LLC
Years of Experience
4 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
SUMMIT FINANCIAL, LLC
Current Firm
C. J. LAWRENCE INC. | DEUTSCHE MORGAN GRENFELL/C. J. LAWRENCE INC. | DEUTSCHE MORGAN GRENFELL INC. | DEUTSCHE BANK SECURITIES INC. | DEUTSCHE BANC ALEX. BROWN INC. | CYRUS J. LAWRENCE INCORPORATED | C.J. LAWRENCE/DEUTSCHE BANK SECURITIES CORPORATION | C.J. LAWRENCE, MORGAN GRENFELL INC.
Contact Information
Main Address
1 Columbus Circle, New York, NY 10019Mailing Address
1 Columbus Circle, New York, NY 10019Phone Number
(212) 250-2500Established
Delaware since 12/29/1971Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
1,743SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DB U.S. FINANCIAL MARKETS HOLDING CORPORATION | STOCKHOLDER | — |
| FAY, BRIAN JAMES | DIRECTOR/CHIEF OPERATIONS OFFICER | 5997727 |
| IACONO, SCOTT LOUIS | CHIEF FINANCIAL OFFICER/FINOP | 2792854 |
| LEONARD, CHRISTOPHER | DIRECTOR/CHIEF EXECUTIVE OFFICER/PRESIDENT | 5748580 |
| MASSARO, TIBERIO | DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP | 1847137 |
| NAPPER, GLEENNIA T | CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER | 6161268 |
| PETRUCCELLI, DOMINICK III | DIRECTOR | 8018800 |
| SANTORE, DAVID | CHIEF LEGAL OFFICER | 7987270 |
| SILVERBERG, JOSEPH EVAN | DIRECTOR | 4502704 |
| TIGER, SEBASTIAN BENJAMIN | CHIEF COMPLIANCE OFFICER | 2266287 |
| ZEIDERS, DUNCAN MATTHEW | DIRECTOR | 6165550 |
Disclosures
Regulatory Event
292Civil Event
3Arbitration
13Similar Advisors
SUMMIT FINANCIAL, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
SUMMIT FINANCIAL, LLC
Primary Firm SEC Registration
C. J. LAWRENCE INC. | DEUTSCHE MORGAN GRENFELL/C. J. LAWRENCE INC. | DEUTSCHE MORGAN GRENFELL INC. | DEUTSCHE BANK SECURITIES INC. | DEUTSCHE BANC ALEX. BROWN INC. | CYRUS J. LAWRENCE INCORPORATED | C.J. LAWRENCE/DEUTSCHE BANK SECURITIES CORPORATION | C.J. LAWRENCE, MORGAN GRENFELL INC.
State Registrations and Notice Filings
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(7/21/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
(9/7/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
SUMMIT FINANCIAL, LLC
CRS (Client Relationship Summary) - BD
Click below to view Flor Guerra's CRS (Customer Relationship Summary).
Similar Advisors
SUMMIT FINANCIAL, LLC