Gary L. Wasserman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gary Lee Wasserman was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1982. Gary had worked at 8 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2001 - August 2, 2002
BAIRD, PATRICK & CO., INC.
August 18, 1998 - October 16, 2000
LABRANCHE FINANCIAL SERVICES, LLC
May 21, 1996 - July 28, 1998
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
January 1, 1996 - February 9, 1996
MONITOR INVESTMENT GROUP, INC.
August 2, 1995 - May 1, 1996
WINDSOR REYNOLDS SECURITIES, INC.
January 10, 1995 - July 31, 1995
SEABOARD SECURITIES, INC.
August 16, 1994 - January 12, 1995
TEEVAN & CO., INC.
October 20, 1982 - August 2, 1994
CROWN FINANCIAL GROUP, INC.
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
Series 55
Date: 6/17/1998
Limited Representative-Equity Trader ExamCurrent Firm
BAIRD, PATRICK & CO., INC.
CRD#: 1149 / SEC#: , 8-18029
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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