Steven A. Gilman
Professional summary
Steven Andrew Gilman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Steven had worked at 3 firms, which includes FINANCIAL LINKS INC., LEIGH BALDWIN & CO. LLC, CYGNET SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2000 - March 26, 2004
FINANCIAL LINKS, INC.
October 28, 1996 - November 9, 1999
LEIGH BALDWIN & CO., LLC
August 14, 1996 - November 1, 1996
CYGNET SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
FINANCIAL LINKS, INC.
CRD#: 41392 / SEC#: , 8-49398
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONWEALTH FINANCIAL HOLDINGS, INC. | PARENT COMPANY | |
| GILMAN, THURSTON GENE | TREASURER | 1141747 |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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