Gerald J. Whyte
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 James Whyte was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1985. Gerald had worked at 7 firms and has passed the Series 63, SIE, 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
June 3, 2013 - October 19, 2020
CROWN CAPITAL SECURITIES, L.P.
June 3, 2013 - October 19, 2020
CROWN CAPITAL SECURITIES, L.P.
September 8, 2009 - June 17, 2013
LPL FINANCIAL LLC
September 8, 2009 - June 17, 2013
LPL FINANCIAL LLC
January 14, 2002 - September 8, 2009
MUTUAL SERVICE CORPORATION
March 31, 1999 - September 8, 2009
MUTUAL SERVICE CORPORATION
November 27, 1990 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
October 31, 1989 - November 27, 1990
IDS LIFE INSURANCE COMPANY
October 31, 1989 - November 27, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
January 23, 1985 - October 5, 1989
JOHN M. MCGIVNEY SECURITIES, INC.
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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
