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GE

Gale Eisner

REGIMENT SECURITIES.
CHICAGO, IL 60611
Some features on this profile are disabled
CRD#: 1163605
GE

Professional summary

Gale Eisner is a registered financial professional currently at REGIMENT SECURITIES, LLC. located in Chicago, Illinois.

Gale is registered as a RR (Registered Representative) and started their career in finance in 1983. Gale has worked at 10 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Gale Eisner's CRS (Customer Relationship Summary).
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

January 11, 2024 - Present

REGIMENT SECURITIES, LLC.

Office #1: 420 N. Wabash Avenue, Chicago, IL 60611
BD
CRD#: 311302
CHICAGO, IL
Past

January 4, 2022 - December 21, 2023

REGIMENT SECURITIES, LLC.

BD
CRD#: 311302
CHICAGO, IL
Past

January 18, 2019 - December 22, 2021

SELALU PARTNERS, LLC

BD
CRD#: 114664
APOLLO BEACH, FL
Past

May 1, 2013 - January 5, 2017

TRIVE NEW YORK LLC

BD
CRD#: 21946
NEW YORK, NY
Past

October 7, 2011 - April 8, 2013

CORINTHIAN PARTNERS, L.L.C.

BD
CRD#: 38912
NEW YORK, NY
Past

June 1, 2009 - October 1, 2009

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

October 13, 1995 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 7, 1990 - August 9, 1995

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

March 24, 1988 - December 21, 1989

LYNCH, JONES & RYAN LLC

BD
CRD#: 3198
NEW YORK, NY
Past

October 28, 1985 - October 14, 1987

MCKINLEY ALLSOPP, INC.

BD
CRD#: 13098
Past

September 21, 1983 - December 16, 1985

CIBC WORLD MARKETS CORP.

BD
CRD#: 630

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
(1/11/2024)
RR
Connecticut
(1/24/2024)
RR
Florida
(1/11/2024)
RR
Georgia
(1/24/2024)
RR
Illinois
(1/24/2024)
RR
Massachusetts
(1/24/2024)
RR
New Jersey
(1/24/2024)
RR
New York
(1/11/2024)
RR
Ohio
(1/24/2024)
RR
Pennsylvania
(1/11/2024)
RR
Tennessee
(10/7/2024)
RR
Texas
(1/11/2024)
RR
Virginia
(1/24/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/29/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/5/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/26/1990
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/1983
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RS
REGIMENT SECURITIES, LLC.
REGIMENT SECURITIES, LLC.

CRD#: 311302 / SEC#: , 8-70607

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

Main Address
420 N. Wabash Avenue, Chicago, IL 60611
Mailing Address
420 N. Wabash Avenue 430, Chicago, IL 60611
Phone number
(773) 480-7561
Established
Delaware since 09/21/2020
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (33 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
REGIMENT, LLC.MEMBER
BURNHAM, STEPHEN TYLERSHAREHOLDER/PRINCIPAL4663613
D&A CAPITAL PARTNERS LLCMEMBER
CAVANAUGH, MICHAEL ALANCEO/CCO4794844
JONES, SHARON DOSTERFINOP/PFO/POO3124470

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

REGIMENT SECURITIES, LLC.

CRD#: 311302Chicago, IL 60611

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