David Gorman
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.
David Gorman was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1974. David had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 5, 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
February 10, 2012 - December 12, 2019
EMPIRE ASSET MANAGEMENT COMPANY
March 12, 2007 - February 23, 2012
KERN, SUSLOW SECURITIES, INC.
August 1, 1996 - March 12, 2007
THE BENCHMARK COMPANY, LLC
June 6, 1989 - August 1, 1996
GRUNTAL & CO., L.L.C.
March 25, 1974 - June 20, 1989
GRENEL & CO., LLC
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 55
Date: 12/16/1999
Limited Representative-Equity Trader ExamSeries 5
Date: 12/8/1982
Interest Rate Options ExaminationPC
Date: 7/5/1977
AMEX Put and Call ExamSeries 1
Date: 1/21/1974
Registered Representative ExaminationCurrent Firm
EMPIRE ASSET MANAGEMENT COMPANY
CRD#: 143007 / SEC#: , 8-67520
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Arbitration | 1 |
Red Flags
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