Gerard M. Gorman
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.
Gerard M Gorman, who also goes by Gerard Gorman, Gerry Gorman, was a registered financial professional .
Gerard is a previously registered financial professional and started their career in finance in 1982. Gerard had worked at 8 firms and has passed the Series 66, Series 63, Series 6, Series 5, Series 7, Series 3 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2011 - June 1, 2012
MSI FINANCIAL SERVICES, INC.
September 9, 1997 - April 13, 2007
CINCINNATI ANALYSTS, INC.
October 5, 1992 - September 9, 1997
COMMONWEALTH FINANCIAL NETWORK
November 24, 1989 - December 11, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 19, 1989 - October 8, 1992
OSAIC WEALTH, INC.
November 5, 1986 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
January 10, 1986 - November 25, 1986
CITIGROUP GLOBAL MARKETS INC.
June 21, 1983 - January 15, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
August 25, 1982 - June 16, 1983
DAVID LERNER ASSOCIATES, 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 5
Date: 9/23/1983
Interest Rate Options ExaminationCurrent Firm
MSI FINANCIAL SERVICES, INC.
CRD#: 14251 / SEC#: 801-22306, 8-30447
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BENSON, WENDY ANN | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 2140720 |
| CHICARES, ELIZABETH WARD | DIRECTOR | 2194754 |
| FANNING, MICHAEL ROBERT | DIRECTOR | 1620072 |
| FRANCELLA, AMY | SECRETARY AND CHIEF LEGAL OFFICER | 1881552 |
| FREDERICK, CHRISTINE SPENCER | CHIEF COMPLIANCE OFFICER | 2641636 |
| HOLTZER, DAVID MICHAEL | PRESIDENT | 4345697 |
Disclosures
| Regulatory Event | 41 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
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.
