Gerald P. Farber
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 Paul Farber was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1968. Gerald had worked at 3 firms and has passed the Series 3, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 1992 - January 3, 2008
BOSTON PARTNERS SECURITIES, L.L.C.
October 14, 1975 - February 4, 1992
BOSTON PARTNERS SECURITIES, L.L.C.
June 23, 1971 - October 2, 1975
EDWARDS & HANLY
March 19, 1968 - July 7, 1971
OPPENHEIMER AND CO
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 1
Date: 3/15/1968
Registered Representative ExaminationSeries 00
Date: 11/15/1971
General Securities Principal ExaminationCurrent Firm
BOSTON PARTNERS SECURITIES, L.L.C.
CRD#: 2998 / SEC#: , 8-15648
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
