Gary Gooderum
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 Gooderum, who also goes by Hugo Gerhard Gooderum III, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 2010. Gary had worked at 5 firms and has passed the Series 66, Series 79TO, SIE 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
March 15, 2022 - June 30, 2025
OBERON SECURITIES, LLC
February 13, 2015 - March 4, 2022
ASCENDIANT CAPITAL MARKETS, LLC
April 9, 2014 - February 10, 2015
HUNTER WISE SECURITIES, LLC
October 4, 2012 - December 31, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
September 19, 2012 - December 31, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
May 28, 2010 - January 31, 2012
MORGAN STANLEY
May 4, 2010 - January 31, 2012
MORGAN STANLEY
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 79TO
Date: 6/13/2022
Investment Banking Registered Representative ExaminationCurrent Firm
OBERON SECURITIES, LLC
CRD#: 132598 / SEC#: , 8-66607
Contact information
FINRA licenses (22 States and Territories)
Documents
Red Flags
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