Gary E. Zimmerman
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.
Gary Efrem Zimmerman, who also goes by Gary E Zimmerman, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1999. Gary had worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2015 - February 27, 2026
BROCK SECURITIES LLC
August 5, 2005 - July 10, 2013
CITIGROUP GLOBAL MARKETS INC.
April 26, 2004 - July 1, 2005
SG AMERICAS SECURITIES, LLC
June 28, 2002 - April 26, 2004
COWEN AND COMPANY
September 10, 1999 - October 4, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
BROCK SECURITIES LLC
CRD#: 122156 / SEC#: , 8-65467
Contact information
FINRA licenses (4 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
