Gerald R. Swirsky
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.
Gerald Robert Swirsky was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1969. Gerald had worked at 10 firms and has passed the Series 63, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 1992 - September 22, 1994
TUCKER ANTHONY INCORPORATED
June 22, 1984 - November 13, 1992
PRUDENTIAL EQUITY GROUP, LLC
March 18, 1982 - July 3, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
April 21, 1977 - March 30, 1982
J.P. MORGAN SECURITIES LLC
November 17, 1976 - November 30, 1976
SHEARSON HAYDEN STONE INC.
June 25, 1975 - May 6, 1977
REYNOLDS SECURITIES, INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
July 8, 1974 - July 26, 1975
THOMSON MCKINNON SECURITIES INC.
December 8, 1970 - August 19, 1975
W. E. HUTTON & CO.
June 26, 1969 - November 8, 1974
HAYDEN STONE 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 5
Date: 10/19/1981
Interest Rate Options ExaminationPC
Date: 9/1/1977
AMEX Put and Call ExamSeries 1
Date: 6/23/1969
Registered Representative ExaminationCurrent Firm
TUCKER ANTHONY INCORPORATED
CRD#: 837 / SEC#: , 8-19301
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 57 |
| Civil Event | 1 |
| Arbitration | 9 |
| Bond | 5 |
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.
