Gerald P. Brockman
Professional summary
Gerald Page Brockman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gerald is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, Gerald had worked at 6 firms, which includes NCF FINANCIAL SERVICES INC., INVEST FINANCIAL CORPORATION, AMERICAN GENERAL SECURITIES INCORPORATED, F.N. WOLF & CO. INC., SHERWOOD CAPITAL INC., FIRST JERSEY SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2002 - October 22, 2002
NCF FINANCIAL SERVICES, INC.
September 30, 2002 - October 22, 2002
NCF FINANCIAL SERVICES, INC.
December 15, 1992 - October 17, 2002
INVEST FINANCIAL CORPORATION
December 9, 1992 - September 30, 2002
INVEST FINANCIAL CORPORATION
August 14, 1989 - November 24, 1992
AMERICAN GENERAL SECURITIES INCORPORATED
May 16, 1988 - August 29, 1988
F.N. WOLF & CO., INC.
February 2, 1987 - May 18, 1988
SHERWOOD CAPITAL, INC.
June 19, 1985 - January 31, 1987
FIRST JERSEY 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
NCF FINANCIAL SERVICES, INC.
CRD#: 120471 / SEC#: , 8-65305
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL BANK OF COMMERCE | PARENT SUB. | |
| BERTINO, JOHN PAUL | CHIEF OPERATING OFFICER | 1700447 |
| FURR, RICHARD LEE | DIRECTOR | 2532543 |
| HADDAD, KEVIN RAY | CHIEF COMPLIANCE OFFICER, DIRECTOR | 1415289 |
| HATCHER, WILLIAM GREGORY | CHIEF FINANCIAL OFFICER | 4167155 |
| KAREN ELIZABETH WHITEHEAD | SECRETARY | |
| LEX, CANDICE HUNTER | DIRECTOR | |
| POPWELL, DAVID T. | CHAIRMAN OF THE BOARD | 4348329 |
Red Flags
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