Gary J. Bachman
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 J Bachman was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 2004. Gary had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2014 - March 25, 2020
PZENA FINANCIAL SERVICES, LLC
September 22, 2008 - December 2, 2008
BARCLAYS CAPITAL INC.
March 19, 2004 - September 22, 2008
LEHMAN BROTHERS 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
Current Firm
PZENA FINANCIAL SERVICES, LLC
CRD#: 169807 / SEC#: , 8-69390
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PZENA INVESTMENT MANAGEMENT LLC | SHAREHOLDER | 106847 |
| ARNOLD, VALERIE RENE | CO-HEAD OF NORTH AMERICAN DISTRIBUTION | 3257541 |
| COFFEY, STEVEN MARK | CHIEF COMPLIANCE OFFICER | 7692630 |
| DORAN, JESSICA RYAN | CFO/FINOP | 6406095 |
| LIPSEY, WILLIAM LOUIS | CEO | 1553822 |
| TYNDALE, ELIZABETH WEISS | CO-HEAD OF NORTH AMERICAN DISTRIBUTION | 2666648 |
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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