Gerard G. Frost
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.
Gerard Gregory Frost, who also goes by Gerard G Frost, Gerard Gregory Frost Jr, Jerry Gregory Frost Jr, was a registered financial professional .
Gerard is a previously registered financial professional and started their career in finance in 1995. Gerard had worked at 8 firms and has passed the Series 63, SIE, Series 55 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
December 7, 2012 - August 26, 2015
THE VERTICAL GROUP
March 14, 2011 - January 10, 2012
PRIME EXECUTIONS, INC.
April 15, 2010 - November 14, 2012
ELEVATION, LLC
February 14, 2006 - February 8, 2010
SUSQUEHANNA FINANCIAL GROUP, LLLP
June 7, 2005 - February 6, 2006
G1 EXECUTION SERVICES, LLC
March 8, 2005 - April 15, 2005
REDWOOD BROKERAGE LLC
February 29, 2000 - March 14, 2003
CREDIT SUISSE SECURITIES (USA) LLC
January 23, 1995 - March 9, 2000
LEHMAN BROTHERS 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
Series 55
Date: 6/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
THE VERTICAL GROUP
CRD#: 104353 / SEC#: , 8-52814
Contact information
FINRA licenses (30 States and Territories)
Documents
Disclosures
| Regulatory Event | 13 |
Red Flags
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