Denise Gum
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.
Denise Gum was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 1982. Denise had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2013 - April 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - April 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 31, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 15, 2002 - July 28, 2003
BANC OF AMERICA SECURITIES LLC
April 29, 2002 - August 28, 2002
RYAN BECK & CO.
September 28, 2001 - May 13, 2002
GRUNTAL & CO., L.L.C.
February 19, 1999 - October 25, 2001
WELLS FARGO CLEARING SERVICES, LLC
November 12, 1998 - February 18, 1999
UBS FINANCIAL SERVICES INC.
May 20, 1998 - November 11, 1998
WELLS FARGO CLEARING SERVICES, LLC
March 31, 1998 - June 18, 1998
AMERICAN FRONTEER FINANCIAL CORPORATION
July 2, 1997 - March 17, 1998
RODMAN & RENSHAW INC.
February 15, 1990 - June 13, 1997
CHARLES SCHWAB & CO., INC.
October 7, 1983 - May 16, 1989
DEAM INVESTOR SERVICES, INC.
December 21, 1982 - August 12, 1983
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
