Timothy A. Gamso
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.
Timothy Alan Gamso was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1982. Timothy had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2014 - December 10, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 10, 2014 - December 10, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 16, 2010 - November 3, 2014
RBC CAPITAL MARKETS, LLC
August 16, 2010 - November 3, 2014
RBC CAPITAL MARKETS, LLC
January 3, 2007 - August 16, 2010
MORGAN KEEGAN & COMPANY, LLC
January 3, 2007 - August 16, 2010
MORGAN KEEGAN & COMPANY, LLC
May 4, 2004 - January 3, 2007
PRESIDIO CAPITAL ADVISORS, LLC
May 3, 2004 - January 3, 2007
PRESIDIO CAPITAL ADVISORS, LLC
May 27, 1997 - March 17, 2004
LEHMAN BROTHERS INC.
April 8, 1992 - June 4, 1997
UBS FINANCIAL SERVICES INC.
November 5, 1984 - April 11, 1992
CREDIT SUISSE SECURITIES (USA) LLC
April 29, 1982 - August 31, 1984
BECKER PARIBAS INCORPORATED
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
Series 5
Date: 3/27/1985
Interest Rate Options ExaminationSeries 8
Date: 10/28/1991
General Securities Sales Supervisor Examination (Options Module & General Module)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.
