Individual Firm
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ROBERT THOMAS GUITERMAN
CRD#: 4453114
IA
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SEALEX ADVISORY, LLCCRD#: 321861 TAMPA, FL
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1/22/2016
Customer Dispute
Denied
11/14/2012
Customer Dispute
Denied
State Registrations
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Connecticut 4/21/2023
IA
Florida 4/5/2023
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/14/2016 - 04/06/2023 | White Plains, NY | |
B | 10/14/2016 - 04/06/2023 | White Plains, NY | |
IA | 05/15/2015 - 10/18/2016 | WHITE PLAINS, NY | |
B | 05/15/2015 - 10/18/2016 | WHITE PLAINS, NY | |
IA | 06/02/2008 - 05/22/2015 | ELMSFORD, NY | |
B | 05/14/2008 - 05/22/2015 | ELMSFORD, NY | |
IA | 02/11/2008 - 05/29/2008 | BRIDGEPORT, CT | |
B | 11/16/2007 - 05/29/2008 | BRIDGEPORT, CT | |
B | 02/01/2002 - 10/16/2007 | SHELTON, CT |
For additional information about investment advisers or broker-dealers, please visit
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.