Maureen H. Gearty
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.
Maureen Hanley Gearty, who also goes by Maureen Eleanor Gearty, Maureen Eleanor Hanley, Maureen Hanleygearty, Maureen Eleanor Kelly, was a registered financial professional .
Maureen is a previously registered financial professional and started their career in finance in 1995. Maureen had worked at 5 firms and has passed the Series 63, Series 55 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
November 16, 2009 - May 2, 2011
FIRST MERGER CAPITAL, INC
March 14, 2005 - November 4, 2009
GUNNALLEN FINANCIAL, INC
February 3, 2000 - August 23, 2004
BISHOP, ROSEN & CO., INC.
October 2, 1996 - December 8, 1999
WEXFORD CLEARING SERVICES, LLC
November 16, 1995 - December 31, 1995
PRUDENTIAL EQUITY GROUP, LLC
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: 4/26/2000
Limited Representative-Equity Trader ExamCurrent Firm
FIRST MERGER CAPITAL, INC
CRD#: 44083 / SEC#: , 8-50546
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
