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GK

Gary M. Kornman

Some features on this profile are disabled
CRD#: 274071
GK

Professional summary

Gary Morton Kornman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gary is a previously registered financial professional and started their career in finance in 1969. Prior to being barred, Gary had worked at 10 firms, which includes HERITAGE INVESTMENTS L.L.C., HERITAGE SECURITIES CORPORATION, TRANSAMERICA FINANCIAL ADVISORS LLC, MUTUAL SERVICE CORPORATION, FEDERATION FOR FINANCIAL INDEPENDENCE, CINCINNATI ANALYSTS INC., ADVANCED FINANCIAL PLANNING CORP, INTERNATIONAL SECURITIES CORP., HARDY ASSOCIATES INCORPORATED, FINANCIAL SERVICE CORPORATION OF AMERICA.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 19, 1995 - April 16, 2003

HERITAGE INVESTMENTS, L.L.C.

BD
CRD#: 37692
DALLAS, TX
Past

February 1, 1993 - December 16, 2005

HERITAGE SECURITIES CORPORATION

BD
CRD#: 30211
ADDISON, TX
Past

July 15, 1991 - October 2, 1992

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA
Past

April 29, 1988 - May 8, 1990

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

August 20, 1987 - July 15, 1991

FEDERATION FOR FINANCIAL INDEPENDENCE

BD
CRD#: 13355
Past

July 30, 1974 - September 17, 1977

CINCINNATI ANALYSTS, INC.

BD
CRD#: 5478
Past

January 2, 1973 - August 7, 1974

ADVANCED FINANCIAL PLANNING CORP

BD
CRD#: 1000004
Past

December 29, 1971 - January 4, 1973

INTERNATIONAL SECURITIES CORP.

BD
CRD#: 430
Past

September 7, 1971 - January 30, 1972

HARDY ASSOCIATES INCORPORATED

BD
CRD#: 1000002
Past

August 25, 1969 - September 25, 1971

FINANCIAL SERVICE CORPORATION OF AMERICA

BD
CRD#: 292

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: 7/17/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 8/17/1987
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 8/20/1969
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 00
Date: 3/23/1971
General Securities Principal Examination

Current Firm

HI
HERITAGE INVESTMENTS, L.L.C.
HERITAGE INVESTMENTS, L.L.C. | HERITAGE SECURITIES, L.L.C.

CRD#: 37692 / SEC#: , 8-47884

BD
Terminated by SEC on 06/14/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/28/1994
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STALWART INVESTMENTS 94-2, L.P.MEMBER
HERITAGE SECURITIES CORPORATIONMANAGER/MEMBER30211
DIFFILY, JENNIFER RENEEPRESIDENT4586843
HARPER, TAMMY LEASECRETARY-TREASURER4341063

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

HERITAGE INVESTMENTS, L.L.C.

CRD#: 37692

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