Robert M. Gorczakowski
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.
Robert Michael Gorczakowski, who also goes by Robert Michael Gorczakowski Mr., was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 8 firms and has passed the Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2015 - May 17, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
March 3, 2009 - December 7, 2015
CONSTELLATION WEALTH ADVISORS LLC
April 24, 2006 - December 15, 2008
KAUPTHING SECURITIES, INC.
September 24, 2003 - August 10, 2004
LADENBURG FINANCIAL SERVICES LLC
May 25, 2001 - August 23, 2001
LADENBURG CAPITAL MANAGEMENT INC.
April 23, 1999 - April 21, 2006
LADENBURG THALMANN & CO. INC.
November 30, 1994 - September 15, 1997
RICKEL & ASSOCIATES, INC.
September 29, 1994 - October 12, 1994
REICH & CO., 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
FIRST REPUBLIC SECURITIES COMPANY, LLC
CRD#: 105108 / SEC#: 801-71759, 8-52973
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JP MORGAN CHASE BANK, NATIONAL ASSOCIATION | STOCKHOLDER | |
| BURGE, ANDREW C | DIRECTOR | 5619554 |
| GENTIN, NICOLAS ROBIN | DIRECTOR | 2723366 |
| HERRON, MICHAEL ROBERT | OFFICER | 2692410 |
| HONG, AMY | DIRECTOR | 4259934 |
| LEE, HYUNJOO | FINOP | 7074361 |
| MARTINEZ, MARK CAESAR | REGISTERED OPTIONS PRINCIPAL (ROP) | 2870632 |
| TATEOSIAN, DAVID CHARLES | PRESIDENT AND DIRECTOR | 1605404 |
| THORNTON, ROBERT LEE JR | DIRECTOR | 1412949 |
| WEITGENANT, DAVID ANDREW | CHIEF COMPLIANCE OFFICER | MSRB PRINCIPAL | 2096196 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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