Gerald L. Garfield
Professional summary
Gerald L Garfield is a registered financial professional currently at BLACK OAK SECURITIES, INC. located in Pawnee, Illinois.
Gerald is registered as a RR (Registered Representative) and started their career in finance in 1986. Gerald has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gerald L Garfield's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 20, 1992 - Present
BLACK OAK SECURITIES, INC.
Office #1: 707 Carroll Street, Suite C, Pawnee, IL 62558January 10, 1991 - December 15, 1992
NEXT ADVISORS INC.
December 10, 1990 - January 23, 1991
NATIONAL SECURITIES CORPORATION
January 8, 1990 - January 23, 1991
NATIONAL SECURITIES CORPORATION
June 11, 1986 - January 5, 1990
PFS INVESTMENTS 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
(10/31/2005)
(11/20/1992)
(10/8/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 9/25/1996
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
BLACK OAK SECURITIES, INC.
CRD#: 30889 / SEC#: , 8-45219
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GROSS, DWAN N | PRESIDENT & CHIEF COMPLIANCE OFFICER | 5985005 |
Red Flags
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Company Information
BLACK OAK SECURITIES, INC.
CRD#: 30889Pawnee, IL 62558TRUST BUT VERIFY
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