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JG

Jeffrey S. Gearhart

4170 SECURITIES LLC
CHICAGO, IL 60654
Some features on this profile are disabled
CRD#: 2443490
JG

Professional summary

Jeffrey S Gearhart is a registered financial professional currently at 4170 SECURITIES LLC located in Chicago, Illinois.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1994. Jeffrey has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey S Gearhart's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 28, 2024 - Present

4170 SECURITIES LLC

Office #1: 372 West Ontario Street Suite 502, Chicago, IL 60654
BD
CRD#: 326718
CHICAGO, IL
Past

February 28, 2024 - September 24, 2024

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
ALLENTOWN, PA
Past

September 20, 2022 - February 6, 2023

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
ATLANTA, GA
Past

September 15, 2021 - January 3, 2022

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
KING OF PRUSSIA, PA
Past

June 29, 2021 - July 12, 2021

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
ATLANTA, GA
Past

January 2, 2004 - May 18, 2004

BNY MELLON SECURITIES LLC

BD
CRD#: 47268
JERSEY CITY, NJ
Past

December 8, 2003 - December 17, 2003

BNY MELLON SECURITIES LLC

BD
CRD#: 47268
JERSEY CITY, NJ
Past

October 17, 1994 - March 9, 2020

BNY MELLON CAPITAL MARKETS, LLC

BD
CRD#: 17454
PITTSBURGH, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/11/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/20/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/6/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/12/1994
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

4S
4170 SECURITIES LLC
4170 SECURITIES LLC

CRD#: 326718 / SEC#: , 8-71102

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
372 West Ontario Street Suite 502, Chicago, IL 60654
Mailing Address
372 West Ontario Street Suite 400, Chicago, IL 60654
Phone number
(312) 912-7336
Established
Illinois since 03/08/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
4170 HOLDINGS LLCMEMBER
ASTON, JONATHAN PETERCHIEF RISK OFFICER3182932
NICKS, BRENT PATRICKCHIEF COMPLIANCE OFFICER4067773
SILBERBERG, CRAIG DMANAGER
WILSON, CHARLENE FAITHFINOP1935747

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.

Company Information

4170 SECURITIES LLC

CRD#: 326718Chicago, IL 60654

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