Gerald C. Mohr
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 Charles Mohr, who also goes by Gerry Mohr, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1991. Gerald had worked at 11 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 4, Series 27 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
August 17, 2022 - June 14, 2024
SECURITIES AMERICA, INC.
August 17, 2022 - August 23, 2024
TRIAD ADVISORS LLC
October 9, 2013 - May 2, 2016
VALIC FINANCIAL ADVISORS, INC.
October 9, 2013 - November 3, 2023
FSC SECURITIES CORPORATION
October 9, 2013 - March 25, 2024
WOODBURY FINANCIAL SERVICES, INC.
October 9, 2013 - November 15, 2024
OSAIC SERVICES, INC.
October 1, 2010 - November 15, 2024
OSAIC WEALTH, INC.
June 4, 2010 - October 4, 2010
NEXT FINANCIAL GROUP, INC.
November 30, 2006 - January 3, 2007
TCF INVESTMENTS, INC.
June 26, 2006 - September 5, 2008
IFMG SECURITIES, INC.
June 3, 1999 - June 16, 2006
NEXT FINANCIAL GROUP, INC.
March 20, 1991 - February 4, 1999
ADVANTAGE CAPITAL CORPORATION
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
