Gary B. Weiss
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.
Gary Bruce Weiss was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1988. Gary had worked at 15 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2011 - December 15, 2015
SW FINANCIAL
August 18, 2008 - December 16, 2011
FIRST MIDWEST SECURITIES, INC.
January 4, 2006 - August 18, 2008
THE CONCORD EQUITY GROUP, LLC
November 5, 2004 - January 5, 2006
J.P. TURNER & COMPANY, L.L.C.
November 7, 2003 - December 17, 2004
LH ROSS & COMPANY, INC.
April 23, 1998 - November 6, 2001
FIRST SECURITY INVESTMENTS, INC.
November 13, 1996 - April 20, 1998
NORTHEAST SECURITIES, LLC
June 7, 1995 - January 14, 1997
ROYAL PALM INVESTMENTS, LTD.
February 24, 1992 - May 12, 1995
MEYERS POLLOCK ROBBINS, INC.
November 23, 1990 - February 7, 1992
TAMARON INVESTMENTS, INC.
September 4, 1990 - September 26, 1990
BRENNAN ROSS SECURITIES, INC.
May 15, 1990 - September 13, 1991
FIRST AMERICA EQUITIES CORP.
February 5, 1990 - June 12, 1990
VANDERBILT SECURITIES, INC.
June 21, 1988 - February 14, 1990
J. T. MORAN & CO., INC.
March 24, 1988 - May 23, 1988
SHERWOOD CAPITAL, 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
Current Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
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