Gary K. Wohrle
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.
Gary Kay Wohrle was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1968. Gary had worked at 16 firms and has passed the Series 63, Series 3, Series 5, PC, Series 1 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
June 29, 2007 - February 14, 2013
REGAL SECURITIES, INC.
March 25, 2003 - July 2, 2007
BROOKSTREET SECURITIES CORPORATION
August 19, 1999 - November 9, 2001
KERSEY, SCILLIA, FORSTER AND BROOKS, INC.
January 3, 1994 - September 5, 1997
JWGENESIS SECURITIES, INC.
October 31, 1988 - January 3, 1994
JW GENESIS CLEARING CORP.
August 1, 1984 - October 3, 1988
UBS FINANCIAL SERVICES INC.
April 30, 1982 - July 13, 1984
CRALIN & CO., INC.
November 13, 1979 - March 23, 1982
CIBC WORLD MARKETS CORP.
November 13, 1979 - April 29, 1982
CITIGROUP GLOBAL MARKETS INC.
January 26, 1979 - January 19, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 20, 1977 - May 11, 1983
DREXEL BURNHAM LAMBERT INCORPORATED
November 17, 1976 - January 11, 1978
SHEARSON HAYDEN STONE INC.
January 7, 1975 - November 17, 1976
SHEARSON HAYDEN STONE INC.
June 1, 1973 - April 16, 1975
BACHE & CO INCORPORATED
March 29, 1971 - July 7, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
July 5, 1968 - March 12, 1971
LOEB RHOADES & CO
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: 10/5/1981
Interest Rate Options ExaminationPC
Date: 1/1/1978
AMEX Put and Call ExamSeries 1
Date: 7/1/1968
Registered Representative ExaminationCurrent Firm
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
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.
