Gary E. Zimmerman
Professional summary
Gary Efrem Zimmerman, who also goes by Gary E Zimmerman, is a registered financial professional currently at BROCK SECURITIES LLC located in New York, New York.
Gary is registered as a RR (Registered Representative) and started their career in finance in 1999. Gary has 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) - BD
Click below to view Gary Efrem Zimmerman's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 5, 2015 - Present
BROCK SECURITIES LLC
Office #1: 505 Park Ave 14th Floor, New York, NY 10022August 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
(3/27/2017)
(3/27/2017)
(6/5/2015)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current 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.
