Victor M. Gardner
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.
Victor Montgomery Gardner, who also goes by Corky Gardner, VIctor M. Gardner III, Victor Gardner, Victor Montgomery Gardner III, was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 2000. Victor had worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2023 - July 16, 2024
BANCROFT CAPITAL, LLC
March 8, 2021 - May 31, 2023
FORESIDE FUND SERVICES, LLC
June 6, 2017 - December 31, 2018
WILLIAM BLAIR
September 19, 2007 - May 30, 2017
JANUS HENDERSON DISTRIBUTORS US LLC
July 2, 2007 - September 12, 2007
BNY MELLON SECURITIES CORPORATION
July 2, 2007 - September 12, 2007
BNY MELLON SECURITIES CORPORATION
February 24, 2004 - July 2, 2007
MBSC, LLC
February 20, 2004 - July 2, 2007
MBSC, LLC
November 22, 2000 - March 1, 2004
GOLDMAN SACHS & CO. LLC
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
Current Firm
BANCROFT CAPITAL, LLC
CRD#: 290665 / SEC#: , 8-70035
Contact information
FINRA licenses (34 States and Territories)
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.
