Gerald D. Neuman
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.
Gerald David Neuman was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1970. Gerald had worked at 8 firms and has passed the Series 52TO, Series 7TO, SIE, PC, Series 1, Series 14, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2012 - July 7, 2022
NATIONAL SECURITIES CORPORATION
March 25, 2002 - February 27, 2012
FAGENSON & CO., INC.
April 4, 1983 - April 2, 2002
STARR SECURITIES, INC.
February 28, 1983 - August 26, 1986
STARR SECURITIES, INC.
July 21, 1975 - December 22, 1987
MULLER AND COMPANY, INC.
March 5, 1973 - July 25, 1975
EVANS & CO., INC.
December 19, 1972 - April 6, 1973
PHILIPS, APPEL & WALDEN, INC.
November 20, 1970 - January 20, 1973
A. C. KLUGER & CO.
February 11, 1970 - June 13, 1972
KERN SECURITIES CORP
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 8/30/1977
AMEX Put and Call ExamSeries 1
Date: 10/28/1960
Registered Representative ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
