Guy W. Courtney
Professional summary
Guy Weiland Courtney was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Guy is a previously registered financial professional and started their career in finance in 1976. Prior to being barred, Guy had worked at 9 firms, which includes BARRON CHASE SECURITIES INC., THE MACHAIRA GROUP INC., BROOKSTREET SECURITIES CORPORATION, SANCTUARY SECURITIES INC., HAYES & GRIFFITH INC., G. W. COURTNEY INC., LPL FINANCIAL LLC, BATEMAN EICHLER HILL RICHARDS INCORPORATED, STIFEL NICOLAUS & COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 1996 - July 2, 1997
BARRON CHASE SECURITIES, INC.
July 10, 1992 - December 27, 1996
THE MACHAIRA GROUP, INC.
April 13, 1992 - July 17, 1992
BROOKSTREET SECURITIES CORPORATION
February 27, 1985 - May 29, 1991
SANCTUARY SECURITIES, INC.
May 3, 1984 - April 2, 1985
HAYES & GRIFFITH, INC.
July 10, 1979 - March 5, 1985
G. W. COURTNEY, INC.
October 28, 1977 - October 22, 1978
LPL FINANCIAL LLC
December 23, 1976 - November 7, 1977
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
January 2, 1976 - December 26, 1976
STIFEL, NICOLAUS & COMPANY, INCORPORATED
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
F04
Date: 12/20/1978
Financial Principal ExaminationCurrent Firm
BARRON CHASE SECURITIES, INC.
CRD#: 18969 / SEC#: , 8-37107
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONTINENTAL FINANCIAL | OWNER | |
| AIELLO, PHILIP JOHN JR | V.P. | 2214889 |
| ANDOLPHO, PETER DONALD JR | V.P. | 2034938 |
| BLUNDELL, ROGER JAMES | V.P. | 2228388 |
| COLLURA, ANTHONY BURKE | V.P. | 1212502 |
| CRISTIANO, GENNARO JERRY | V.P. | |
| FEINMEL, HOWARD | CHEIF COMPLIANCE OFFICER CCO | 1330613 |
| GALLEGOS, CRAIG STEVEN | V.P. | 2026646 |
| GRIMM, KENTON EDWARD | V.P. | 1474702 |
| HAFEZI, KIOUMARS | V.P | 1725946 |
| HERMAN, BRIAN MARCUS | V.P. | 1927274 |
| KIRK, ROBERT THOMAS | CEO | 1204425 |
| KLEIN, JAY ALAN | CFO / FINOP | 3233468 |
| LIMA, MARIE SANTA | V.P. | 2727745 |
| LOCKHART, ROGER DEAN | V.P. | 1581173 |
| MACKLE, DANIEL JOSEPH SR | V.P. | 2239531 |
| MEDRANO, PAUL DEAN | V.P. | 1550449 |
| NOLE, JOHN ANTHONY | V.P. | 1609191 |
| OHALLORAN, DANIEL PATRICK | V.P. | 1391521 |
| OREILLY, RICHARD DONLON | V.P. | 845839 |
| ORLANDO, JOHN ANTHONY | V.P | 2002197 |
| PARSI, JOEY AMIR | V.P. | 1933342 |
| PETRUSHA, MICHAEL EDWARD | V.P. | 1690224 |
Disclosures
| Regulatory Event | 13 |
| Civil Event | 2 |
| Arbitration | 29 |
Red Flags
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