Gerald A. Christensen
Professional summary
Gerald Arthur Christensen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gerald is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Gerald had worked at 1 firm, which includes HOCHMAN & BAKER SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 1993 - November 19, 1996
HOCHMAN & BAKER SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
HOCHMAN & BAKER SECURITIES, INC.
CRD#: 19949 / SEC#: , 8-37970
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOCHMAN & BAKER, INC. | PARENT COMPANY | |
| KARAFFA, JOHN EDWARD | FINANCIAL OPERATIONS PRINCIPAL - FINOP | 4623625 |
| METHVEN, ROBERT THOMAS | CHIEF EXECUTIVE OFFICER - DIRECTOR | 3004179 |
| MINDEL, NORBERT MAC | CLO - DIRECTOR | 1254630 |
| REEDY, DAVID STEPHEN | PRESIDENT - DIRECTOR | 1037099 |
| WILES, EDWARD JOSEPH JR | SVP & CHIEF COMPLIANCE OFFICER | 872723 |
Disclosures
| Arbitration | 1 |
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