Gary E. Abbott
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 Edward Abbott was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1993. Gary had worked at 7 firms and has passed the Series 63, SIE, Series 79, Series 7, Series 86, Series 87 and Series 16 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2015 - September 6, 2016
MERRIMAN CAPITAL, INC.
June 12, 2006 - January 2, 2008
BROADPOINT AMTECH, INC.
June 6, 2002 - August 16, 2005
MERRIMAN CAPITAL, INC.
May 29, 2001 - May 31, 2002
H.C.WAINWRIGHT & CO., LLC
February 26, 1998 - April 5, 2001
PUNK, ZIEGEL & COMPANY, L.P.
December 9, 1996 - January 14, 1998
HANIFEN, IMHOFF INC.
July 7, 1994 - January 1, 1997
AMERIPRISE ADVISOR SERVICES, INC.
October 18, 1993 - June 13, 1994
CORNA SECURITIES, 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
Current Firm
MERRIMAN CAPITAL, INC.
CRD#: 18296 / SEC#: , 8-36420
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 1 |
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.
