TG
Troy Guffey
OPENDEAL BROKER LLC
New York, NY 10010
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CRD#: 7587900
TG
Professional summary
Troy Guffey is a registered financial professional currently at OPENDEAL BROKER LLC located in New York, New York.
Troy is registered as a RR (Registered Representative) and started their career in finance in 2023. Troy has worked at 1 firm and has passed the Series 79TO and SIE 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 Troy Guffey'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
September 15, 2023 - Present
OPENDEAL BROKER LLC
Office #1: 149 5th Avenue 10th Fl, New York, NY 10010BD
CRD#: 291387
New York, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
RR
Series 79TO
Date: 9/15/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OB
OPENDEAL BROKER LLC
CAPITAL R | REPUBLIC SECURITIES | OPENDEAL BROKER LLC | OPENDEAL BROKER | NEXTSEED SECURITIES, LLC
CRD#: 291387 / SEC#: , 8-70055
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
149 5th Avenue 10th Fl, New York, NY 10010
Mailing Address
149 East 22st 10th Fl, New York, NY 10010
Phone number
(607) 227-1036
Established
Delaware since 08/29/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Red Flags
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