Floyd E. Ogorman
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.
Floyd Earl Ogorman was a registered financial professional .
Floyd is a previously registered financial professional and started their career in finance in 1968. Floyd had worked at 16 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2006 - January 22, 2007
BROOKSTREET SECURITIES CORPORATION
May 22, 1996 - October 11, 2004
J. ALEXANDER SECURITIES, INC.
May 12, 1988 - February 23, 1996
TOLUCA PACIFIC SECURITIES CORP.
February 27, 1987 - February 22, 1988
W.J. GALLAGHER & COMPANY, INC.
November 8, 1984 - May 9, 1986
J. ALEXANDER SECURITIES, INC.
April 11, 1984 - October 23, 1984
PAULSON INVESTMENT COMPANY LLC
March 31, 1983 - February 16, 1984
UNION SECURITIES
May 14, 1981 - February 14, 1983
PAULSON INVESTMENT COMPANY LLC
September 20, 1979 - March 17, 1981
GALLAGHER, BOYLAN & COOK, INC.
May 31, 1979 - September 30, 1979
C. L. MCKINNEY & CO., INC.
October 8, 1976 - July 31, 1979
SAMUEL B. FRANKLIN AND COMPANY, INC.
July 8, 1974 - September 6, 1976
MERRILL, LUTHER, KALIS & CO.
March 27, 1974 - August 14, 1974
ROBERTS, SCOTT & CO., INC.
October 1, 1973 - April 14, 1974
W. E. HUTTON & CO.
April 26, 1973 - October 27, 1973
FREDRICK GREGORY & COMPANY
September 1, 1971 - July 25, 1973
B. J. LERNER & COMPANY, INC.
May 5, 1971 - September 12, 1971
CALIFORNIA INVESTORS INCORPORATED
March 8, 1968 - May 11, 1971
THOMAS GREEN SECURITIES, INC.
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: 3/16/1961
Registered Representative ExaminationCurrent Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
