Gerald A. Gaffney
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 Anthony Gaffney, who also goes by Jerry Gaffney, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1985. Gerald had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2011 - October 23, 2014
AVATAR SECURITIES, LLC
June 20, 2006 - January 4, 2010
G-2 TRADING,LLC
May 5, 1998 - July 29, 2003
CARLIN EQUITIES, LLC
November 20, 1996 - May 15, 1998
ELECTRONIC TRADING GROUP, LLC
May 16, 1994 - November 27, 1996
J.P. MORGAN SECURITIES LLC
August 2, 1993 - April 27, 1994
NEW WINDSOR ASSOCIATES, L.P.
January 20, 1993 - January 26, 1993
SPECTRUM TRADING PARTNERS L.P.
February 3, 1989 - January 19, 1993
NEW WINDSOR ASSOCIATES, L.P.
May 1, 1987 - January 13, 1989
MANKO COMPANY
November 19, 1985 - February 2, 1987
TWENTY-FIRST SECURITIES CORPORATION
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
Series 55
Date: 5/4/2000
Limited Representative-Equity Trader ExamCurrent Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
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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