Gerald E. Connor
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.
Gerald Edward Connor, who also goes by Jerry Connor, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1984. Gerald had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10, Series 9 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
November 16, 2016 - June 7, 2018
FHN FINANCIAL SECURITIES CORP.
June 2, 2016 - November 2, 2016
R.W.PRESSPRICH & CO.
March 26, 2010 - April 20, 2016
B. RILEY SECURITIES, INC.
February 23, 2009 - March 16, 2010
INTL FCSTONE CREDIT TRADING LLC
May 6, 1997 - March 4, 2009
BANC OF AMERICA SECURITIES LLC
July 20, 1995 - May 12, 1997
UBS FINANCIAL SERVICES INC.
October 5, 1987 - March 2, 1995
MORGAN STANLEY MARKET PRODUCTS INC.
August 28, 1984 - March 2, 1995
MORGAN STANLEY & CO. LLC
January 26, 1984 - November 14, 1984
LEHMAN BROTHERS INC.
January 25, 1984 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB 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
Current Firm
FHN FINANCIAL SECURITIES CORP.
CRD#: 46346 / SEC#: , 8-51393
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HORIZON BANK | SHAREHOLDER | |
| BUCK, WILLIAM JAMES II | PRINCIPAL OPERATING OFFICER | 3129662 |
| DABROWSKI, MARK GERARD | CHIEF COMPLIANCE OFFICER | 2065647 |
| GRIFFIN, MARK DANIEL | SVP, RISK CONTROL MANAGER | 7462222 |
| JACKSON, JEFF BRIAN | SVP/ TRADING MANAGER | 2777631 |
| RITCHESON, DONALD ALLEN | PRINCIPAL FINANCIAL OFFICER / CFO | 2360009 |
| ROMANOW, TIMOTHY MARK | PRESIDENT/CEO | 2533445 |
| WADDELL, MICHAEL KNOX | EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 5657529 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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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