Gerald S. Curhan
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.
Gerald Serge Curhan was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1970. Gerald had worked at 11 firms and has passed the Series 63, PC, Series 3, 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
April 20, 1992 - March 27, 1995
JOSEPHTHAL & CO., INC.
March 18, 1991 - May 1, 1992
MOORS & CABOT, INC.
August 11, 1989 - November 24, 1989
MOORE & SCHLEY, CAMERON & CO.
December 26, 1986 - July 26, 1990
FIRST TECHNOLOGY SECURITIES, INC.
July 6, 1983 - February 19, 1985
ROONEY, PACE INC.
December 15, 1981 - June 8, 1983
MORGAN KEEGAN & COMPANY, LLC
January 6, 1977 - November 4, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
February 6, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
October 9, 1975 - February 6, 1976
DREXEL BURNHAM & CO. INCORPORATED
January 19, 1972 - October 11, 1975
EDWARDS & HANLY
April 27, 1970 - February 19, 1972
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
PC
Date: 12/8/1992
AMEX Put and Call ExamSeries 1
Date: 1/9/1969
Registered Representative ExaminationCurrent Firm
JOSEPHTHAL & CO., INC.
CRD#: 3227 / SEC#: , 8-5651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSEPHTHAL CAPITAL GROUP, INC. | PARENT | |
| AGOSTA, SALVATORE FRANK | CHIEF FINANCIAL OFFICER | 1253738 |
| FICHTNER, HENRY ARTHUR | NATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT | 1327009 |
| FITZGERALD, PAUL HENRY | CEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR | 812775 |
| HURLEY, KEVIN BRADY | COMPLIANCE DIRECTOR | 1293748 |
| KRONENBERG, DAVID HIRSCH | CHIEF ADMINISTRATIVE OFFICER | 1799665 |
| MATYCKAS, EDWARD STANLEY | CROP/SROP | 1405961 |
| MCCABE, DONALD GERARD | GENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY | 1367480 |
| MCNAMARA, DENNIS PATRICK | GENERAL COUNSEL - CORPORATE-VICE PRESIDENT | 2938486 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 12 |
Red Flags
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