Martin R. Gerek
Professional summary
Martin Ray Gerek was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Martin Ray Gerek, who also goes by Martin R Gerek, Martin Rae Gerek, was a registered financial advisor .
Martin is a previously registered financial advisor and started their career in finance in 2002. Martin had worked at 6 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2008 - November 20, 2008
WADDELL & REED
June 30, 2008 - November 20, 2008
WADDELL & REED
November 21, 2007 - January 15, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
November 19, 2007 - January 15, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
April 2, 2007 - July 12, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - July 12, 2007
MORGAN STANLEY & CO. LLC
June 23, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
May 26, 2006 - June 20, 2006
MORGAN STANLEY DW INC.
May 26, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
April 21, 2005 - June 1, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 2004 - June 1, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 11, 2002 - July 23, 2004
EDWARD JONES
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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 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.
