Gary S. Hamilton
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.
Gary Stephen Hamilton was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1973. Gary had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 79, Series 3, PC, Series 1, Series 12, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2014 - August 29, 2016
W.G. NIELSEN & CO.
March 28, 2003 - August 29, 2008
W.G. NIELSEN & CO.
February 20, 2001 - April 11, 2001
WELLS FARGO CLEARING SERVICES, LLC
June 8, 1999 - February 2, 2001
JANCO PARTNERS, INC.
June 23, 1997 - April 1, 1999
STANFORD GROUP COMPANY
July 23, 1993 - June 17, 1997
KFS BD, INC.
July 24, 1989 - July 27, 1993
UBS FINANCIAL SERVICES INC.
September 26, 1978 - July 27, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 1973 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
May 17, 1973 - September 6, 1973
HORNBLOWER & WEEKS - HEMPHILL, NOYES 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
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 5/14/1973
Registered Representative ExaminationSeries 12
Date: 5/17/1979
NYSE Branch Manager ExaminationCurrent Firm
W.G. NIELSEN & CO.
CRD#: 41093 / SEC#: , 8-49316
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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