GU
Geimser Ian L. Uyami
SIEBERT WILLIAMS SHANK & CO.
New York, NY 10005
Some features on this profile are disabled
CRD#: 5293546
GU
Professional summary
Geimser Ian Lopez Uyami, who also goes by Geimser Uyami, is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in New York, New York.
Geimser Ian is registered as a RR (Registered Representative) and started their career in finance in 2009. Geimser Ian has worked at 1 firm and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Geimser Uyami
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Geimser Ian Lopez Uyami's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 16, 2009 - Present
SIEBERT WILLIAMS SHANK & CO., LLC
Office #1: 100 Wall Street 18th Floor, New York, NY 10005BD
CRD#: 42568
New York, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(3/22/2012)
RR
Arkansas(3/22/2012)
RR
California(3/22/2012)
RR
Colorado(3/22/2012)
RR
Connecticut(3/22/2012)
RR
Delaware(3/22/2012)
RR
District of Columbia(4/22/2013)
RR
Florida(3/22/2012)
RR
Georgia(3/22/2012)
RR
Hawaii(3/22/2012)
RR
Illinois(3/22/2012)
RR
Kentucky(3/22/2012)
RR
Louisiana(4/22/2013)
RR
Maine(3/22/2012)
RR
Maryland(3/22/2012)
RR
Massachusetts(3/22/2012)
RR
Michigan(3/22/2012)
RR
Minnesota(3/22/2012)
RR
Missouri(4/22/2013)
RR
Nevada(3/22/2012)
RR
New Hampshire(4/22/2013)
RR
New Jersey(7/28/2010)
RR
New York(7/28/2010)
RR
North Carolina(3/23/2012)
RR
Ohio(3/23/2012)
RR
Pennsylvania(3/22/2012)
RR
Texas(3/22/2012)
RR
Utah(3/22/2012)
RR
Vermont(4/22/2013)
RR
Virginia(3/22/2012)
RR
Washington(3/22/2012)
RR
West Virginia(3/22/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SIEBERT WILLIAMS SHANK & CO., LLC
SIEBERT CISNEROS SHANK & CO., L.L.C. | SIEBERT, BRANDFORD, SHANK & CO., L.L.C. | SIEBERT WILLLIAMS SHANK | SIEBERT WILLIAMS SHANK & CO., LLC
CRD#: 42568 / SEC#: , 8-49877
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
100 Wall Street 18th Floor, New York, NY 10005
Mailing Address
100 Wall Street 18th Floor, New York, NY 10005
Phone number
(646) 775-4850
Established
Delaware since 03/10/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHANK WILLIAMS CISNEROS, LLC | OWNER | |
| CALABRISOTTO, DIANNE NMN | AML OFFICER | 1273900 |
| CALABRISOTTO, DIANNE NMN | CHIEF COMPLIANCE OFFICER & COO | 1273900 |
| CHANDA, ATEESH SINGH | CHIEF LEGAL OFFICER | 6973151 |
| DIAZ, DANIEL | FINANCIAL PRINCIPAL | 2214417 |
| HALL, GARY | CO-PRESIDENT | 4393662 |
| SHANK-WERDLOW, SUZANNE FRANCES | CEO, DIRECTOR OF PARENT | 1860931 |
| THOMPSON, WILLIAM COLRIDGE JR | CHIEF ADMINISTRATIVE OFFICER | 2316101 |
| WARNER, SOBANI MULENGA | CO-PRESIDENT | 1732009 |
Disclosures
| Regulatory Event | 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.
