Doyle S. Gaw
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.
Doyle Shrigly Gaw, who also goes by Doyle Shirgly Gaw, was a registered financial professional .
Doyle is a previously registered financial professional and started their career in finance in 1960. Doyle had worked at 3 firms and has passed the Series 63, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 1994 - February 23, 1995
HEIDTKE & COMPANY, INC.
January 31, 1989 - May 18, 1992
HEIDTKE & COMPANY, INC.
March 19, 1982 - April 12, 1988
SUNBELT SECURITIES, INC.
May 6, 1960 - November 17, 1977
TENNESSEE 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 40
Date: 2/23/1977
Registered Principal ExaminationCurrent Firm
HEIDTKE & COMPANY, INC.
CRD#: 13951 / SEC#: , 8-30055
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HEIDTKE, LYMAN OSCAR JR | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 241752 |
| SHELBY, DIANNE KIDD | SECRETARY |
Disclosures
| Regulatory Event | 7 |
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.
