Individual Firm
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JULIO GUEMES
CRD#: 6031830
IA
B
PARK AVENUE SECURITIES LLCCRD#: 46173 4200 W CYPRESS STREET
SUITE 700
TAMPA, FL 33607
SUITE 700
TAMPA, FL 33607
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4/27/2020
Financial
Pending
4/27/2020
Financial
Pending
State Registrations
IA
California 6/23/2020
B
Florida 6/24/2020
B
California 6/24/2020
IA
Florida 6/24/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/23/2020
B
Registered with this firm since 6/23/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/15/2019 - 12/13/2019 | MIAMI, FL | |
B | 10/11/2019 - 12/13/2019 | MIAMI, FL | |
IA | 02/18/2015 - 10/14/2019 | MIAMI, FL | |
B | 01/18/2014 - 10/14/2019 | MIAMI, FL |
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B
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.