Gerald M. Gifford
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 Michael Gifford, who also goes by Jerry Gifford, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1972. Gerald had worked at 3 firms and has passed the Series 63 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2002 - January 31, 2007
NORTHWATER CAPITAL MARKETS, LLC
March 30, 2001 - May 9, 2002
AGENCY TRADING GROUP, INC.
August 23, 1972 - June 1, 2000
JOHN G. KINNARD AND COMPANY, INCORPORATED
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 00
Date: 8/17/1972
General Securities Principal ExaminationCurrent Firm
NORTHWATER CAPITAL MARKETS, LLC
CRD#: 120965 / SEC#: , 8-65366
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NORTHWATER CAPITAL MARKETS INC. | 100% DIRECT OWNER | |
| FINCH, DAVID STEWART | DIRECTOR | 5528688 |
| HART, DANIEL THOMAS | MANAGER /CEO/ CCO | 2211950 |
| MILLS, DANIEL CHARLES | DIRECTOR | 5506598 |
| PATTERSON, DAVID GEORGE | DIRECTOR | 4381517 |
| PIURKO, JONATHAN PAUL | VP & SECRETARY | 5485085 |
| ROBSON, PAUL WALLACE | DIRECTOR | 4597511 |
| SLOAN, JACQUELINE LEE | FINOP | 2717305 |
| WARMBOLD, BENITA MARIE | DIRECTOR | 4381524 |
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.
