Nelson E. Gilroy
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.
Nelson Edward Gilroy was a registered financial professional .
Nelson is a previously registered financial professional and started their career in finance in 1982. Nelson had worked at 8 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2005 - December 8, 2016
FORTUNE FINANCIAL SERVICES, INC.
January 1, 2004 - January 6, 2005
VOYA FINANCIAL ADVISORS, INC.
February 5, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
December 1, 2000 - September 28, 2001
CENTENNIAL FINANCIAL SERVICES, INC.
July 16, 1999 - November 1, 2000
WOODBURY FINANCIAL SERVICES, INC.
January 10, 1989 - July 8, 1999
SII INVESTMENTS, INC.
October 24, 1986 - December 31, 1988
MUTUAL SERVICE CORPORATION
September 27, 1982 - October 27, 1986
WADDELL & REED
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
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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