Gillian L. Bouchie
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.
Gillian Lee Bouchie, who also goes by Gillian L Harnish, Gillian Lee Harnish, was a registered financial professional .
Gillian is a previously registered financial professional and started their career in finance in 1994. Gillian had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2016 - November 20, 2017
R.W.PRESSPRICH & CO.
February 4, 2015 - November 30, 2015
CANACCORD GENUITY LLC
March 3, 2008 - January 20, 2015
R.W.PRESSPRICH & CO.
October 10, 2006 - February 20, 2008
KNIGHT LIBERTAS LLC
May 24, 2004 - October 10, 2006
RAYMOND JAMES & ASSOCIATES, INC.
July 18, 2003 - March 31, 2004
APEX CLEARING CORPORATION
June 5, 1995 - July 29, 2003
LEHMAN BROTHERS INC.
March 14, 1995 - June 6, 1995
GOLDMAN SACHS & CO. LLC
August 2, 1994 - March 17, 1995
GOLDMAN SACHS MONEY MARKETS, L.P.
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
R.W.PRESSPRICH & CO.
CRD#: 26460 / SEC#: , 8-42547
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAPPA, EDWARD JOSEPH | CHAIRMAN (04/2009) AND CHIEF EXECUTIVE OFFICER (04/1990) | 371101 |
| CALVO, JOSEPH ANTHONY JR | DIRECTOR (01/2006), SENIOR MANAGING DIRECTOR (10/2018), PRESIDENT (04/2009) AND CHIEF OPERATING OFFICER (04/2009) | 1391692 |
| CARROLL, JOHN EDWARD III | DIRECTOR (06/2009), SENIOR MANAGING DIRECTOR (10/2018) AND CHIEF ADMINISTRATIVE OFFICER (10/2021) | 2134481 |
| BURNS, TIMOTHY LEE | SENIOR MANAGING DIRECTOR (10/2018), DIRECTOR, AND, CCO (07/2022) | 36429 |
| CAUMARTIN, RENAUD | BOARD MEMBER | 3266876 |
| CHEN, WAYNE H | FINOP | 4779449 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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