Jerry E. Surman
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.
Jerry Edmond Surman was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1991. Jerry had worked at 10 firms and has passed the Series 63, Series 55, Series 7, Series 53, Series 4 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
October 18, 2004 - December 15, 2004
WINDSOR STREET CAPITAL, LP
December 9, 2003 - September 29, 2004
NEWBRIDGE SECURITIES CORPORATION
June 11, 2002 - December 31, 2003
SOURCE CAPITAL GROUP, INC.
October 5, 2001 - February 12, 2002
RUMSON CAPITAL, LLC
September 18, 2001 - October 2, 2001
EMERSON BENNETT & ASSOCIATES
November 16, 1993 - April 25, 2001
FIN-ATLANTIC SECURITIES, INC.
January 25, 1993 - October 22, 1993
WILLIAM & CO. CAPITAL MARKETS LTD.
September 23, 1992 - February 2, 1993
SCHNEIDER SECURITIES, INC.
February 21, 1992 - September 22, 1992
FIRST MONTAUK SECURITIES CORP.
May 24, 1991 - February 20, 1992
PACIFIC SOUTHERN 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
Series 55
Date: 4/17/2000
Limited Representative-Equity Trader ExamCurrent Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
Red Flags
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