Sumner Gerard
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.
Sumner Gerard, CFA was a registered financial professional .
Sumner is a previously registered financial professional and started their career in finance in 2001. Sumner had worked at 2 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2002 - November 12, 2018
P. R. HERZIG & CO. INC.
May 11, 2001 - November 8, 2001
BOSTON INVESTING CORPORATION
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
P. R. HERZIG & CO. INC.
CRD#: 2185 / SEC#: 801-66238, 8-22589
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HERZIG, MILTON THOMAS | DIRECTOR | 843473 |
| DESNICK, JULIE HERZIG | SHAREHOLDER | |
| LANDESBERG, LYDIA BETH | SHAREHOLDER | |
| EMILY P. HERZIG TRUST, MILTON T. HERZIG AND JULIE HERZIG TRUSTEES | SHAREHOLDER | |
| SAMUEL A HERZIG TRUST, MILTON T. HERZIG AND JULIE HERZIG TRUSTEES | SHAREHOLDER | |
| GERARD, SUMNER | INTERIM PRESIDENT | 4327030 |
| HERZIG, HELENE | DIRECTOR | |
| PESNER, ARTHUR STUART | CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER; AND DIRECTOR (03/2004) | 2574341 |
Disclosures
| Regulatory Event | 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.
