Michael G. Gilliam
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.
Michael Gerard Gilliam, who also goes by Michael Gilliam, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2014 - April 29, 2014
RAYMOND C. FORBES & CO., INC.
October 25, 2011 - February 9, 2012
ECHOTRADE LLC
May 2, 2008 - October 21, 2011
ECHOTRADE LLC
January 11, 2008 - April 25, 2008
G-2 TRADING,LLC
March 6, 2006 - November 30, 2007
NOLLENBERGER CAPITAL PARTNERS INC.
December 3, 2001 - September 1, 2005
FULCRUM GLOBAL PARTNERS LLC
September 1, 1998 - November 13, 2001
ROBERTSON STEPHENS, INC.
October 1, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
August 2, 1996 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
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
RAYMOND C. FORBES & CO., INC.
CRD#: 33090 / SEC#: , 8-25064
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND C. FORBES GST TRUST FBO C. FORBES | SHAREHOLDER | |
| RAYMOND C. FORBES GST TRUST FBO M. FORBES | SHAREHOLDER | |
| RAYMOND C. FORBES GST TRUST FBO P.J. FORBES | SHAREHOLDER | |
| RAYMOND C. FORBES GST TRUST FBO P.M. FORBES | SHAREHOLDER | |
| RAYMOND C. FORBES GST TRUST FBO R. FORBES | SHAREHOLDER | |
| FORBES, MARIE-REGINA | PRESIDENT/FINOP/TREAS/CFO/COO; SHAREHOLDER | 2106108 |
| FORBES, PATRICIA MARY | CHIEF COMPLIANCE OFFICER; SROP/CROP; SECRETARY; SHAREHOLDER | 2241513 |
| FORBES, PATRICK JOSEPH | VICE PRESIDENT SHAREHOLDER | 1940215 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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