Gary W. Freeman
Professional summary
Gary Wayne Freeman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gary is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Gary had worked at 9 firms, which includes OAK RIVER FINANCIAL GROUP INC., SIGNAL SECURITIES INC., SECURITIES AMERICA INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, FIRST AFFILIATED SECURITIES, FIRST AFFILIATED SECURITIES INC., E. F. HUTTON & COMPANY INC, THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK, MONY SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2014 - September 19, 2016
OAK RIVER FINANCIAL GROUP, INC.
September 11, 2006 - December 9, 2013
OAK RIVER FINANCIAL GROUP, INC.
June 19, 1997 - December 31, 2000
SIGNAL SECURITIES, INC.
January 17, 1991 - June 17, 1997
SECURITIES AMERICA, INC.
October 4, 1989 - May 29, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 31, 1989 - October 4, 1989
FIRST AFFILIATED SECURITIES
December 1, 1983 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
November 23, 1981 - December 5, 1983
E. F. HUTTON & COMPANY INC
September 23, 1980 - July 8, 1981
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
September 23, 1980 - July 8, 1981
MONY SECURITIES CORPORATION
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 1
Date: 9/16/1980
Registered Representative ExaminationCurrent Firm
OAK RIVER FINANCIAL GROUP, INC.
CRD#: 108575 / SEC#: 801-57356
Contact information
Regulatory assets under management
| Total Number of Accounts | 162 |
| AUM (Assets Under Management) | $ 40,310,672 |
Red Flags
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