Conrad J. Gerard
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.
Conrad John Gerard, who also goes by Conrad Gerard, was a registered financial professional .
Conrad is a previously registered financial professional and started their career in finance in 1989. Conrad had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2014 - May 9, 2017
MULTI-BANK SECURITIES, INC.
August 9, 2010 - December 31, 2014
MOUNTAINVIEW SECURITIES, LLC
December 1, 2009 - August 11, 2010
MADISON WILLIAMS AND COMPANY
January 3, 2006 - December 16, 2009
SANDERS MORRIS LLC
January 5, 2002 - January 4, 2006
ADVEST, INC.
January 4, 1999 - November 12, 2001
TUCKER ANTHONY INCORPORATED
November 9, 1998 - December 30, 1998
KEYBANC CAPITAL MARKETS INC.
February 10, 1997 - November 9, 1998
KEY CAPITAL MARKETS, INC.
May 7, 1992 - January 31, 1997
TUCKER ANTHONY INCORPORATED
September 4, 1990 - May 22, 1992
WELLS FARGO CLEARING SERVICES, LLC
January 24, 1989 - September 4, 1990
PRESCOTT, BALL & TURBEN, 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
Series 5
Date: 10/8/1986
Interest Rate Options ExaminationCurrent Firm
MULTI-BANK SECURITIES, INC.
CRD#: 22098 / SEC#: , 8-39547
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
