Gerald D. Mccormick
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.
Gerald Dennis Mccormick II, who also goes by Gerald D Mccormick II, Gerald Dennis Mccormick, Gerald Mccormick, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1990. Gerald had worked at 6 firms and has passed the Series 63, SIE, Series 79 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2015 - July 7, 2018
DCF, LLC
October 18, 1994 - September 14, 1995
ONEAMERICA SECURITIES, INC.
October 18, 1994 - September 14, 1995
AMERICAN UNITED LIFE INSURANCE COMPANY
February 5, 1993 - September 8, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 5, 1993 - September 8, 1994
EQUITABLE ADVISORS, LLC
July 27, 1990 - June 25, 1991
GUARDIAN INVESTOR SERVICES LLC
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
DCF, LLC
CRD#: 149102 / SEC#: , 8-68111
Contact information
FINRA licenses (8 States and Territories)
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.
