Gordon D. Bozarth
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.
Gordon David Bozarth was a registered financial advisor .
Gordon is a previously registered financial advisor and started their career in finance in 1970. Gordon had worked at 5 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2001 - August 26, 2011
BOZARTH, NEWTON & MURPHY SECURITIES, INC.
May 7, 1991 - January 30, 2014
BOZARTH INVESTMENT MNGT
December 5, 1978 - December 9, 1999
ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
August 18, 1972 - December 13, 1978
PETERSON & COMPANY, INC.
April 14, 1970 - September 28, 1972
BLYTH EASTMAN DILLON & CO. INCORPORATED
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 1
Date: 4/18/1968
Registered Representative ExaminationF04
Date: 10/28/1978
Financial Principal ExaminationSeries 00
Date: 9/23/1972
General Securities Principal ExaminationCurrent Firm
BOZARTH, NEWTON & MURPHY SECURITIES, INC.
CRD#: 113870 / SEC#: , 8-53383
Contact information
Documents
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.
