Gerard T. Manzi
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.
Gerard Thomas Manzi was a registered financial professional .
Gerard is a previously registered financial professional and started their career in finance in 1971. Gerard had worked at 8 firms and has passed the SIE, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2002 - October 6, 2014
FIRST BROKERS SECURITIES LLC
June 30, 1993 - March 18, 2002
CHAPDELAINE CORPORATE SECURITIES & CO
March 3, 1980 - June 23, 1993
FINANCIAL SQUARE PARTNERS
July 13, 1978 - March 1, 1980
BECKER PARIBAS INCORPORATED
April 7, 1977 - July 13, 1978
A. G. BECKER INCORPORATED
October 28, 1975 - May 1, 1977
SOGEN-SWISS INTERNATIONAL CORPORATION
November 11, 1974 - November 10, 1975
GOLDMAN SACHS & CO. LLC
October 20, 1971 - July 13, 1972
LOEB RHOADES & CO
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 000
Date: 10/18/1971
General Securities Principal ExaminationSeries 1
Date: 10/18/1971
Registered Representative ExaminationCurrent Firm
FIRST BROKERS SECURITIES LLC
CRD#: 27369 / SEC#: , 8-43035
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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