Garry P. Gough
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.
Garry Philip Gough was a registered financial professional .
Garry is a previously registered financial professional and started their career in finance in 1980. Garry had worked at 16 firms and has passed the Series 63, SIE, Series 7, Series 52 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
March 23, 2007 - December 31, 2018
ICBA SECURITIES
January 3, 2007 - December 31, 2018
VINING-SPARKS IBG, LLC
December 2, 2005 - January 11, 2007
OPPENHEIMER & CO. INC.
March 7, 2003 - November 16, 2005
RBC CAPITAL MARKETS, LLC
February 28, 2001 - March 7, 2003
FIRST INSTITUTIONAL SECURITIES, L.L.C.
May 5, 1999 - February 27, 2001
ADVEST, INC.
October 25, 1997 - May 10, 1999
SUNCOAST CAPITAL GROUP, LTD.
September 22, 1997 - October 29, 1997
EISNER SECURITIES, INC.
January 20, 1997 - January 28, 1998
SMITH CULVER INVESTMENTS
November 19, 1996 - December 17, 1996
KILEY PARTNERS, INC.
February 6, 1995 - October 8, 1996
DRIZOS INVESTMENTS, INC.
July 27, 1992 - January 10, 1995
FIRST INSTITUTIONAL SECURITIES, L.L.C.
May 21, 1992 - July 24, 1992
DRIZOS INVESTMENTS, INC.
June 22, 1989 - February 21, 1991
J. B. HANAUER & CO.
May 11, 1989 - June 2, 1989
GATEWAY SECURITIES, INC.
April 21, 1989 - May 24, 1989
WILLIAM M. CADDEN & CO., INC.
October 24, 1985 - January 26, 1988
GRUNTAL & CO., L.L.C.
July 10, 1980 - October 28, 1985
GLICKENHAUS & CO. - NEW JERSEY
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
ICBA SECURITIES
CRD#: 24088 / SEC#: , 8-40867
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICBA SERVICES NETWORK, INC. | OWNER | |
| BATES, THOMAS EUGENE | DIRECTOR | 7598713 |
| BITTINGER, AZA HARRISON JR. | DIRECTOR | 4169602 |
| FOSTER, BRENDA KAY | DIRECTOR | |
| GUERRA, GABE | DIRECTOR | 7910566 |
| HEID, BLAKE AARON | DIRECTOR | 7598685 |
| JORDE, TERRY JEAN | SECRETARY | 2643666 |
| KINZER, CAROL ANN | FINANCIAL AND OPERATIONS PRINCIPAL | 4519471 |
| REBER, JAMES LEO | PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER | 1809879 |
| ROMERO RAINEY, REBECA MARIA | DIRECTOR | 6989824 |
| TWEDDLE, KEVIN MATTHEW | DIRECTOR | 7152050 |
| WANICHEK, CRAIG ALAN | DIRECTOR | 2352101 |
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.
