Gerhard O. Bochow
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.
Gerhard Otto Bochow was a registered financial professional .
Gerhard is a previously registered financial professional and started their career in finance in 1980. Gerhard had worked at 18 firms and has passed the Series 66, Series 63, 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
August 23, 2023 - November 20, 2024
VISION 4 FUND DISTRIBUTORS
May 12, 2023 - August 22, 2023
PRUCO SECURITIES, LLC.
January 2, 2019 - May 10, 2023
VISION 4 FUND DISTRIBUTORS
March 15, 2017 - December 31, 2018
FIRST DOMINION CAPITAL CORP.
January 23, 2015 - October 2, 2015
NAVIAN CAPITAL SECURITIES LLC
March 26, 2013 - November 19, 2013
INNOVATION PARTNERS LLC
August 15, 2008 - May 10, 2012
CLEARARC CAPITAL, INC.
February 28, 2008 - May 16, 2012
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
May 15, 2007 - February 28, 2008
ALPS DISTRIBUTORS, INC.
January 9, 2006 - May 11, 2007
FORESIDE DISTRIBUTION SERVICES, L.P.
June 27, 2005 - September 8, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 31, 2005 - September 8, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 3, 2004 - June 8, 2005
QUEST CAPITAL STRATEGIES, INC.
March 27, 1997 - June 12, 1998
ACUMENT SECURITIES, INC.
August 21, 1996 - December 12, 1996
REICH & TANG DISTRIBUTORS, INC.
January 3, 1992 - July 27, 1992
WALNUT STREET SECURITIES, INC.
August 20, 1990 - November 23, 1991
EQUITILINK U.S.A., INC.
August 24, 1988 - February 6, 1990
POLARIS SECURITIES CORPORATION
June 30, 1980 - August 4, 1981
DREXEL BURNHAM LAMBERT INCORPORATED
January 19, 1980 - November 29, 1983
CITIGROUP GLOBAL MARKETS 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
VISION 4 FUND DISTRIBUTORS
CRD#: 298105 / SEC#: , 8-70175
Contact information
FINRA licenses (27 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GARD, DAVID WAYNE | MANAGING DIRECTOR | 722647 |
| JOHNSON, HENRY P | MANAGING DIRECTOR | 5559118 |
| KUJALOWICZ, PAUL EDWARD | PRESIDENT/MANAGING DIRECTOR | 1020049 |
| SULLIVAN, CORNELIUS JOSEPH | MANAGING DIRECTOR | 2094448 |
| VAINISI, JEROME ARTHUR | CHIEF EXECUTIVE OFFICER | 2011056 |
| FOSTER, TODD MICHAEL | PASSIVE MEMBER | 3024634 |
| GREER, JOHN WILLIAM | PASSIVE MEMBER | 6148298 |
| LEE, BRYAN MATTHEW | PASSIVE MEMBER | 4779819 |
| QUALTERS, DONALD P | PASSIVE MEMBER | 3184519 |
| DAVIS, TAYLOR RENEE | CHIEF COMPLIANCE OFFICER | 5384424 |
| PORTWOOD, WILLIAM BOYCE | CHIEF FINANCIAL OFFICER/FINOP/PFO/POO | 4853700 |
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.
