Gary J. Gross
Professional summary
Gary J Gross was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gary is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Gary had worked at 7 firms, which includes ARJENT LTD., MCBARRON CAPITAL LLC, AXIOM CAPITAL MANAGEMENT INC., UBS FINANCIAL SERVICES INC., CIBC WORLD MARKETS CORP., RAYMOND JAMES & ASSOCIATES INC., CITIGROUP GLOBAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2007 - January 17, 2008
ARJENT LTD.
February 7, 2007 - June 7, 2007
MCBARRON CAPITAL LLC
December 20, 2002 - January 10, 2007
AXIOM CAPITAL MANAGEMENT, INC.
September 20, 2000 - January 9, 2003
UBS FINANCIAL SERVICES INC.
September 15, 2000 - January 9, 2003
UBS FINANCIAL SERVICES INC.
September 10, 1998 - October 3, 2000
CIBC WORLD MARKETS CORP.
February 15, 1996 - September 1, 1998
RAYMOND JAMES & ASSOCIATES, INC.
January 14, 1994 - February 12, 1996
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ARJENT LTD.
CRD#: 35909 / SEC#: , 8-46922
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARJENT SERVICES LIMITED (UK) | OWNER | |
| DAVANZO, GEORGE | FINOP/CFO | 1866674 |
| DEPALO, ROBERT PHILIP | CHAIRMAN/CEO/SECY/CORP. DIRECTOR | 2946313 |
| DIFIORE, MONICA LISA | CCO | 2966552 |
| FALLAH, ROBERT BOBAK | CO-CHAIRMAN/PRESIDENT/DIRECTOR CORPORATE FINANCE | 1069032 |
| HEINEMAN, RONALD MARK | MANAGING DIRECTOR/CROP/SROP/MUNI PRINCIPAL | 241924 |
| SCHONWALD, GARY ALAN | TREASURER/CORPORATE DIRECTOR | 4478897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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