Gary M. Ferone
Professional summary
Gary Michael Ferone was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gary is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Gary had worked at 6 firms, which includes THE THORNWATER COMPANY L.P., STATE CAPITAL MARKETS CORPORATION, USLIFE EQUITY SALES CORP., NATHAN & LEWIS SECURITIES INC., CPC SECURITIES CORPORATION, LEGEND CAPITAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 1995 - June 2, 1997
THE THORNWATER COMPANY, L.P.
April 5, 1994 - September 29, 1995
STATE CAPITAL MARKETS CORPORATION
July 29, 1992 - March 9, 1994
USLIFE EQUITY SALES CORP.
September 3, 1991 - July 28, 1992
NATHAN & LEWIS SECURITIES, INC.
November 8, 1990 - September 6, 1991
CPC SECURITIES CORPORATION
April 13, 1987 - November 13, 1990
LEGEND CAPITAL 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
Current Firm
THE THORNWATER COMPANY, L.P.
CRD#: 36195 / SEC#: , 8-47178
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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