Herbert J. Gee
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.
Herbert John Gee was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1970. Herbert had worked at 6 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2004 - January 21, 2015
BISHOP, ROSEN & CO., INC.
April 29, 2002 - April 1, 2004
RYAN BECK & CO.
May 24, 1995 - May 17, 2002
GRUNTAL & CO., L.L.C.
August 31, 1984 - April 17, 1995
MORGAN STANLEY DW INC.
February 14, 1977 - September 13, 1984
J.P. MORGAN SECURITIES LLC
July 30, 1970 - March 17, 1977
BACHE & CO INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 11/30/1995
AMEX Put and Call ExamSeries 1
Date: 10/1/1969
Registered Representative ExaminationCurrent Firm
BISHOP, ROSEN & CO., INC.
CRD#: 1248 / SEC#: , 8-12140
Contact information
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
| Bond | 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.
