Prescott M. Gerling
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.
Prescott Miller Gerling was a registered financial professional .
Prescott is a previously registered financial professional and started their career in finance in 2008. Prescott had worked at 1 firm and has passed the 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
April 10, 2008 - January 2, 2013
GREENE HOLCOMB & FISHER LLC
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
GREENE HOLCOMB & FISHER LLC
CRD#: 39961 / SEC#: , 8-48912
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADAMS, KENT RIDGWAY | MANAGING DIRECTOR, SHAREHOLDER | 2200504 |
| CROWE, KYLE RICHARD | MANAGING DIRECTOR, SHAREHOLDER | 2492261 |
| GREENE, RICHARD HUNTLEY | MANAGING DIRECTOR, SHAREHOLDER, CHIEF COMPLIANCE OFFICER | 814421 |
| HIGGINS, KENNETH EDWARD | MANAGING DIRECTOR | 2699527 |
| HOLCOMB, BRIAN LEE | MANAGING DIRECTOR, SHAREHOLDER | 1220087 |
| JEVNICK, PAUL RONALD | MANAGING DIRECTOR | 2749780 |
| NEWELL, THOMAS DALE | MANAGING DIRECTOR | 2929058 |
| NICHOLSON, ERIC MATHEW | MANAGING DIRECTOR | 3091615 |
| DOVENBERG, ROBERT E | MANAGING DIRECTOR | 2794450 |
| HEWES, CAMERON MOSES | MANAGING DIRECTOR | 2915765 |
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.
