Gerald C. Gentner
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 Carl Gentner, who also goes by Gerry Gentner, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1974. Gerald had worked at 10 firms and has passed the Series 63, Series 65 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2007 - March 28, 2012
SECURITIES AMERICA, INC.
March 1, 2002 - September 5, 2007
LINCOLN INVESTMENT
October 15, 1993 - January 3, 2003
VOYA FINANCIAL PARTNERS, LLC
August 30, 1983 - July 30, 1988
CPC SECURITIES CORPORATION
June 19, 1983 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
December 28, 1982 - March 8, 2002
NATHAN & LEWIS SECURITIES, INC.
December 16, 1982 - November 10, 1983
ADVANTAGE CAPITAL CORPORATION
October 20, 1980 - December 15, 1982
LEGEND CAPITAL CORPORATION
February 15, 1979 - September 25, 1980
ILICOB SALES CORPORATION
December 2, 1974 - April 11, 1977
HORNOR, TOWNSEND & KENT, LLC
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: 11/19/1974
Registered Representative ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
