Gail B. Roth
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.
Gail Barbara Roth was a registered financial professional .
Gail is a previously registered financial professional and started their career in finance in 1989. Gail had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2003 - December 31, 2004
GRODSKY ASSOCIATES, INC.
September 10, 1996 - July 26, 2001
FIRST MONTAUK SECURITIES CORP.
January 24, 1995 - August 20, 1996
A. G. EDWARDS & SONS, INC.
February 22, 1993 - January 30, 1995
COMMONWEALTH ASSOCIATES
April 19, 1991 - March 2, 1993
DONALD & CO. SECURITIES INC.
February 14, 1989 - March 14, 1991
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, 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
GRODSKY ASSOCIATES, INC.
CRD#: 29148 / SEC#: , 8-44131
Contact information
FINRA licenses (12 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRODSKY, SHELDON | PRESIDENT, TREASURER, SECRETARY, CHIEF EXECUTIVE OFFICER, CFO, ROP, SROP, CROP, CHIEF COMPLIANCE OFFICER, FINOP | 870498 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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