Shirley A. Gillock
Professional summary
Shirley Ann Gillock is a registered financial professional currently at LADENBURG THALMANN & CO. INC. located in New York, New York.
Shirley is registered as a RR (Registered Representative) and started their career in finance in 1986. Shirley has worked at 6 firms and has passed the Series 63, Series 79TO, Series 57TO, Series 52TO, Series 99TO, Series 6TO, SIE, Series 55, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shirley Ann Gillock's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 21, 2020 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 640 5th Avenue 4th Floor, New York, NY 10019July 9, 2020 - September 16, 2020
SECURITIES AMERICA, INC.
June 7, 2006 - September 14, 2020
INVESTACORP, INC.
March 23, 2006 - May 26, 2006
CITCO MUTUAL FUND DISTRIBUTORS, INC.
February 7, 1991 - January 23, 2006
INVESTACORP, INC.
October 27, 1989 - February 13, 1991
ADAMS, BLOCK & COE SECURITIES, INC.
April 9, 1986 - October 30, 1989
HALPERT AND COMPANY, 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
(11/5/2020)
(11/4/2024)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 55
Date: 3/29/2001
Limited Representative-Equity Trader ExamFINRA
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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