Larry D. Giles
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.
Larry Dean Giles was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1970. Larry had worked at 17 firms and has passed the Series 65, Series 63, SIE 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
April 11, 2003 - December 2, 2014
CRESSMAN ESSER INVESTMENT ADVISORS, INC.
April 9, 2003 - December 2, 2014
STONEX OUTSOURCED SERVICES LLC
May 1, 2002 - March 19, 2003
HARRISDIRECT LLC
December 11, 2000 - March 19, 2003
HARRISDIRECT LLC
December 9, 2000 - May 1, 2002
HARRIS INVESTORLINE INC.
April 15, 2000 - December 9, 2000
HARRIS INVESTORLINE
April 29, 1998 - March 7, 2002
AMERITAS INVESTMENT COMPANY, LLC
October 31, 1995 - April 30, 1998
ALLSTATE FINANCIAL SERVICES, LLC
October 26, 1995 - April 15, 2000
HARRIS INVESTORS DIRECT, INC.
October 30, 1992 - November 3, 1995
WINGSPAN INVESTMENT SERVICES
August 6, 1990 - February 10, 1992
GARY-WHEATON INVESTMENT SERVICES, INC.
November 25, 1988 - July 17, 1990
HAMILTON INVESTMENTS, INC.
June 2, 1987 - August 27, 1991
OBERWEIS SECURITIES, INC.
July 11, 1985 - December 22, 1987
PBS SECURITIES, INC.
January 31, 1980 - June 10, 1985
UBS FINANCIAL SERVICES INC.
October 22, 1974 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
September 4, 1974 - November 11, 1974
AMERIPRISE ADVISOR SERVICES, INC.
February 15, 1973 - September 28, 1974
MULLANEY, WELLS & COMPANY
March 23, 1970 - March 5, 1973
HAMILTON INVESTMENTS, 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 1
Date: 11/15/1968
Registered Representative ExaminationCurrent Firm
CRESSMAN ESSER INVESTMENT ADVISORS, INC.
CRD#: 122962 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 111 |
| AUM (Assets Under Management) | $ 23,254,581 |
Red Flags
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