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FG

Francis P. Gehring

MISCHLER FINANCIAL GROUP
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 1154914
FG

Professional summary

Francis Pentlarge Gehring, who also goes by Francis Pentlarge Gehring III, is a registered financial professional currently at MISCHLER FINANCIAL GROUP, INC. located in Stamford, Connecticut.

Francis is registered as a RR (Registered Representative) and started their career in finance in 1983. Francis has worked at 14 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 52 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Francis Pentlarge Gehring Iii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Francis Pentlarge Gehring's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 14, 2020 - Present

MISCHLER FINANCIAL GROUP, INC.

Office #1: Harbor Landing 46 Southfield Avenue, Suite 200, Stamford, CT 06902
BD
CRD#: 37818
Stamford, CT
Past

January 31, 2017 - December 10, 2020

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
GREENWICH, CT
Past

February 28, 2011 - May 31, 2016

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

May 19, 2009 - February 18, 2011

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

June 12, 2007 - May 20, 2009

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

April 28, 1997 - December 20, 2006

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
GREENWICH, CT
Past

September 30, 1993 - March 20, 1997

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

August 16, 1993 - September 30, 1993

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

July 22, 1991 - July 7, 1993

CRT GOVERNMENT SECURITIES, LTD.

BD
CRD#: 19774
Past

September 12, 1990 - April 2, 1991

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

July 25, 1987 - July 3, 1990

WESTPAC POLLOCK GOVERNMENT SECURITIES INC.

BD
CRD#: 19792
Past

July 28, 1986 - October 31, 1988

WESTPAC POLLOCK & CO. INC.

BD
CRD#: 901
Past

June 4, 1984 - January 2, 1985

WOLFE & HURST SECURITIES INC.

BD
CRD#: 7352
Past

August 10, 1983 - April 19, 1984

TITUS & DONNELLY LLC

BD
CRD#: 7033

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(12/14/2020)
RR
Colorado
(1/14/2025)
RR
Connecticut
(12/14/2020)
RR
Illinois
(3/1/2022)
RR
Maryland
(1/14/2025)
RR
Massachusetts
(3/1/2022)
RR
Minnesota
(3/1/2022)
RR
Pennsylvania
(1/14/2025)
RR
Texas
(3/1/2022)
RR
Virginia
(3/22/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 5/22/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/14/1998
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/1988
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 8/9/1983
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/15/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MF
MISCHLER FINANCIAL GROUP, INC.
DILTANA COMPANY, INC. | MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818 / SEC#: , 8-48067

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Mailing Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Phone number
(949) 720-0640
Established
California since 11/22/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CHAMBERLAIN, DEAN ARTHURCHIEF EXECUTIVE OFFICER / DIRECTOR/ CHAIRMAN2262338
HOLMES, DOYLE LAVERNPRESIDENT, CHIEF OPERATION OFFICER-FINOP, CHIEF COMPLIANCE OFFICER, DIRECTOR1556260
GTS FINANCIAL LLCOWNER

Disclosures

Regulatory Event6

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.

Company Information

MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818Stamford, CT 06902

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