Maryann Gorman
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.
Maryann Gorman was a registered financial professional .
Maryann is a previously registered financial professional and started their career in finance in 1984. Maryann had worked at 10 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, 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
January 16, 2020 - December 7, 2023
G.RESEARCH, LLC
December 12, 2014 - December 31, 2019
G.RESEARCH, LLC
October 4, 2013 - July 7, 2014
BARDOWN CAPITAL LLC
August 30, 2013 - July 7, 2014
BAYES CAPITAL LLC
October 27, 2011 - June 5, 2013
WINTERFLOOD SECURITIES INCORPORATED
April 1, 2005 - March 24, 2009
STANFORD GROUP COMPANY
August 15, 2000 - January 22, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
June 27, 1997 - August 1, 2000
CITIGROUP GLOBAL MARKETS INC.
May 15, 1996 - June 4, 1997
DB ALEX. BROWN LLC
August 24, 1995 - June 20, 1996
UBS CAPITAL MARKETS L.P.
January 1, 1984 - July 12, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/19/1999
Limited Representative-Equity Trader ExamCurrent Firm
G.RESEARCH, LLC
CRD#: 7353 / SEC#: , 8-21373
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN GROUP HOLDING CO. | PARENT COMPANY/OWNER | |
| AMABILE, VINCENT M | PRESIDENT | 4356758 |
| FERNANDEZ, JOSEPH LOUIS | FINANCIAL AND OPERATIONS PRINCIPAL | 1968118 |
| GOLDMAN, DAVID MARC | ASSISTANT SECRETARY | 3191963 |
| GREENHAW, PAUL DANIEL | CHIEF COMPLIANCE OFFICER | 1820935 |
| MCGINITY, CORNELIUS VINCENT | OFFICE OF THE CHAIRMAN | 1706960 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
