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GS

Gary M. Slutsky

Some features on this profile are disabled
CRD#: 1267459
GS

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.

Gary Mason Slutsky, who also goes by Fgary Mason Slutsky, was a registered financial professional .

Gary is a previously registered financial professional and started their career in finance in 1984. Gary had worked at 10 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Fgary Mason Slutsky

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 5, 2004 - December 16, 2004

S.W. BACH & COMPANY

BD
CRD#: 43522
PORT WASHINGTON, NY
Past

October 15, 2003 - April 8, 2004

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

October 8, 2003 - October 15, 2003

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

November 2, 2000 - September 17, 2002

ELECTRONIC TRADING GROUP, LLC

BD
CRD#: 37453
NEW YORK, NY
Past

June 25, 1991 - June 27, 2000

SANDS BROTHERS & CO., LTD.

BD
CRD#: 26816
NEW YORK, NY
Past

May 18, 1990 - January 1, 1991

RODMAN & RENSHAW INC.

BD
CRD#: 724
CHICAGO, IL
Past

November 15, 1988 - April 24, 1990

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

November 6, 1985 - October 24, 1988

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
Past

May 21, 1985 - November 19, 1985

JEFFERIES LLC

BD
CRD#: 2347
Past

June 26, 1984 - April 23, 1985

KUHNS BROTHERS & LAIDLAW, INC.

BD
CRD#: 1481
Past

June 4, 1984 - July 10, 1984

LEHMAN BROTHERS INC.

BD
CRD#: 7506

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/30/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1984
General Securities Representative Examination

Current Firm

SB
S.W. BACH & COMPANY
A.T. MOORE SECURITIES, INC. | S.W. BACH & COMPANY | MOORE SECURITIES INC.

CRD#: 43522 / SEC#: , 8-50298

BD
Terminated by SEC on 04/24/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 06/16/1997
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
J.A.S. MANAGEMENT CORPSOLE SHAREHOLDER
GOODE, JACQUELINE MARIEAML OFFICER1292607
GOODE, JACQUELINE MARIECHIEF COMPLIANCE OFFICER1292607
MOLLICA, MICHELLESROP2547543
MOLLICA, MICHELLECROP2547543
SHAPIRO, BARRY EVANCFO/FINOP2623250
SHAPIRO, SCOTT ALLANPRESIDENT, CEO2687108

Disclosures

Regulatory Event2
Arbitration2

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

S.W. BACH & COMPANY

CRD#: 43522

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