Gary J. Sauerman
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 John Sauerman was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1972. Gary had worked at 12 firms and has passed the Series 63, Series 1, Series 27 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2012 - June 22, 2012
ALAMO CAPITAL
October 5, 2011 - March 6, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 6, 2004 - November 3, 2011
STONE & YOUNGBERG LLC
April 1, 1999 - July 13, 2004
BANC ONE CAPITAL MARKETS, INC.
August 17, 1993 - April 1, 1999
BANC ONE CAPITAL MARKETS, INC.
July 29, 1987 - August 5, 1993
MJK CLEARING, INC.
July 24, 1986 - August 14, 1987
SAUERMAN INVESTMENTS, INC.
November 30, 1984 - August 8, 1985
BERNARDI SECURITIES, INC.
June 6, 1980 - July 28, 1986
SAUERMAN SECURITIES, INC.
December 3, 1975 - June 7, 1980
INVESCO CAPITAL MARKETS, INC.
June 1, 1973 - March 5, 1975
VAN KAMPEN WAUTERLEK & BROWN
May 1, 1972 - July 4, 1973
SHEARSON, HAMMILL & CO., 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 1
Date: 4/24/1972
Registered Representative ExaminationSeries 40
Date: 11/19/1976
Registered Principal ExaminationCurrent Firm
ALAMO CAPITAL
CRD#: 26193 / SEC#: , 8-42293
Contact information
FINRA licenses (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 81,684,700 |
Disclosures
| Regulatory Event | 3 |
| Bond | 3 |
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.
