Gary J. Werner
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 Joseph Werner was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1982. Gary had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 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
December 13, 2013 - January 2, 2015
HENNION & WALSH, INC.
May 19, 2006 - December 31, 2013
PMK SECURITIES & RESEARCH, INC.
August 18, 2004 - December 31, 2013
PMK SECURITIES & RESEARCH, INC.
February 4, 2003 - August 17, 2004
WELLS FARGO CLEARING SERVICES, LLC
September 3, 2002 - August 17, 2004
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1992 - September 6, 2002
RAYMOND JAMES & ASSOCIATES, INC.
October 1, 1992 - September 6, 2002
RAYMOND JAMES & ASSOCIATES, INC.
October 16, 1990 - October 1, 1992
INVEST FINANCIAL CORPORATION
March 2, 1989 - October 26, 1990
CROWN FINANCIAL ASSOCIATES, INC.
September 16, 1987 - March 7, 1989
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 23, 1986 - September 23, 1987
PALM BEACH CAPITAL SERVICES, INC.
June 26, 1984 - November 7, 1985
BARNETT INVESTMENTS, INC.
March 23, 1983 - November 15, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 1982 - March 7, 1983
RAYMOND JAMES FINANCIAL SERVICES, 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
Current Firm
HENNION & WALSH, INC.
CRD#: 25766 / SEC#: , 8-41988
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENNION, RICHARD | EXECUTIVE VICE PRESIDENT | 1315386 |
| WALSH, WILLIAM WALTER | PRESIDENT | 1174993 |
| FITZSIMMONS, PHILLIP | CHIEF COMPLIANCE OFFICER | 1625889 |
| HENNION, WILLIAM | VICE PRESIDENT | 2048378 |
| KOWALSKI, STEPHEN GEORGE | VICE PRESIDENT | 1919574 |
| MAHN, KEVIN DOUGLAS | MANAGING DIRECTOR | 2519398 |
| WURST, WENDY ANN | FINOP, TREASURER | 1902879 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 6 |
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.
