John M. Gersten
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.
John Maxwell Gersten was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1974. John had worked at 7 firms and has passed the Series 63, Series 15, Series 3, Series 5, Series 7, Series 24, Series 4, Series 12 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
June 5, 2001 - March 26, 2002
FOX & COMPANY INVESTMENTS INC.
September 3, 1996 - April 6, 2001
WESTAMERICA INVESTMENT GROUP
June 3, 1994 - August 19, 1996
GAINEY FINANCIAL SERVICES, INC.
August 14, 1990 - April 28, 1994
MORGAN STANLEY DW INC.
August 22, 1980 - August 1, 1990
PRUDENTIAL EQUITY GROUP, LLC
October 3, 1977 - September 22, 1980
CITIGROUP GLOBAL MARKETS INC.
May 23, 1974 - April 20, 1976
BURNS BROS. AND TIMMINS 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 15
Date: 3/7/1983
Foreign Currency Options ExaminationSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 12
Date: 7/18/1981
NYSE Branch Manager ExaminationSeries 00
Date: 3/2/1970
General Securities Principal ExaminationCurrent Firm
FOX & COMPANY INVESTMENTS INC.
CRD#: 18517 / SEC#: , 8-37061
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
Red Flags
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