Gerald P. Mcgrath
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 Parrish Mcgrath, who also goes by Jerry Mcgrath, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1993. Gerald had worked at 12 firms and has passed the Series 63, SIE, Series 62 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2012 - February 1, 2022
CROWN CAPITAL SECURITIES, L.P.
February 3, 2012 - June 12, 2012
SANDLAPPER SECURITIES, LLC
August 28, 2010 - October 4, 2010
ENERGY SECURITIES, INC.
August 31, 2009 - June 24, 2010
RMC CAPITAL MARKETS GROUP, INC
June 18, 2009 - September 1, 2009
EMPIRE SECURITIES CORPORATION
December 3, 2008 - April 28, 2009
MVP AMERICAN SECURITIES
January 3, 2005 - November 5, 2008
K-ONE INVESTMENT COMPANY, INC.
September 9, 2003 - November 1, 2004
GRUBB & ELLIS SECURITIES, INC.
January 29, 2003 - September 17, 2003
EMPIRE FINANCIAL GROUP, INC.
November 20, 1995 - December 31, 2000
CENTENNIAL CAPITAL MANAGEMENT, INC.
November 15, 1994 - November 7, 1995
GROVE POINT INVESTMENTS, LLC
March 10, 1993 - November 4, 1994
CAI SECURITIES CORPORATION
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 62
Date: 4/2/2010
Corporate Securities Limited Representative ExaminationCurrent Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
