Dennis R. Gorman
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.
Dennis Richard Gorman, who also goes by Dennis Gorman, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 2003. Dennis had worked at 2 firms and has passed the Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2005 - November 19, 2012
HAMILTON EXECUTIONS LLC
October 1, 2003 - June 13, 2005
M & J 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 25
Date: 2/12/2009
NYSE Trading Assistant ExaminationCurrent Firm
HAMILTON EXECUTIONS LLC
CRD#: 127653 / SEC#: , 8-66025
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FCF GROUP INTERMEDIATE HOLDINGS II LLC | OWNER | |
| FUNARO, JOSEPH NMN | OWNER-GSP | 4340219 |
| PALADINO, ARTHUR NMN | OWNER - GSP | 1927987 |
| RUSH, DAVID ELLIOT | OWNER | 2889292 |
| VENTO, ANDREW PAUL | OWNER | 5153789 |
| POSTREL, HELENE BERSON | FINOP | 2240945 |
| VORA, ANISH M | CHIEF EXECUTIVE OFFICER | 5466748 |
| WONG, WILLIE L | CHIEF COMPLIANCE OFFICER | 4170997 |
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.
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