Allison J. Gerwick
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.
Allison J Gerwick, who also goes by Allison J Smith, was a registered financial professional .
Allison is a previously registered financial professional and started their career in finance in 2002. Allison had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2014 - December 28, 2015
LION STREET FINANCIAL, LLC
December 15, 2010 - September 11, 2012
TOWER SQUARE SECURITIES, INC.
July 10, 2003 - November 11, 2008
KESTRA INVESTMENT SERVICES, LLC
May 10, 2002 - October 28, 2002
CAPITAL BROKERAGE 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
LION STREET FINANCIAL, LLC
CRD#: 165828 / SEC#: , 8-69183
Contact information
FINRA licenses (23 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
