Gerard I. Mizrahi
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 Isaac Mizrahi, who also goes by Gerard Mizrahi, was a registered financial professional .
Gerard is a previously registered financial professional and started their career in finance in 1982. Gerard had worked at 3 firms and has passed the Series 63, Series 7 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
February 24, 2012 - December 19, 2013
SAPENO INC.
December 13, 1984 - October 20, 2011
CHARLES STREET SECURITIES, INC.
November 18, 1982 - May 11, 1983
CHASE SECURITIES, 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
SAPENO INC.
CRD#: 124769 / SEC#: , 8-65721
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
