Gerald A. Boucher
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 Arthur Boucher 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 65, Series 63, Series 7, Series 22, Series 6 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
June 22, 2010 - December 4, 2012
PATRICK CAPITAL MARKETS, LLC
July 2, 2007 - June 2, 2010
KBR CAPITAL MARKETS, LLC
September 23, 2004 - July 12, 2007
GCC-PROSPECT CORPORATION
December 15, 1999 - July 10, 2003
ALLIANZ LIFE FINANCIAL SERVICES, LLC
June 1, 1999 - November 24, 1999
TALBOT FINANCIAL SERVICES, INC.
April 8, 1999 - June 1, 1999
SIGNATOR FINANCIAL SERVICES, INC.
November 21, 1985 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
November 21, 1985 - June 11, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 21, 1985 - June 11, 1998
OSAIC FA, INC.
August 8, 1984 - December 23, 1985
NEW ENGLAND SECURITIES
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
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 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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