Arthur A. Gerome
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.
Arthur Anthony Gerome, who also goes by Art Gerome, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1975. Arthur had worked at 18 firms and has passed the Series 63, PC 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
May 10, 2011 - February 3, 2012
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
October 26, 2010 - March 31, 2011
CEDAR CREEK SECURITIES, INC.
September 1, 2006 - December 20, 2010
GERWIN GROUP, INC.
January 6, 2006 - July 11, 2006
JHS CAPITAL ADVISORS, LLC
November 29, 2001 - December 31, 2005
CANTELLA & CO., INC.
February 12, 1996 - December 11, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 4, 1993 - February 10, 1996
EMMETT A LARKIN COMPANY, INC.
December 6, 1991 - October 30, 1993
CALIFORNIA ONE INVESTMENTS
January 29, 1991 - July 11, 1991
A. G. EDWARDS & SONS, INC.
June 21, 1990 - December 19, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 27, 1989 - December 12, 1989
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1988 - July 19, 1989
LEHMAN BROTHERS INC.
August 10, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
June 11, 1985 - August 17, 1987
MORGAN STANLEY DW INC.
March 12, 1984 - June 11, 1985
SUTRO & CO. INCORPORATED
September 20, 1982 - April 4, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 26, 1982 - November 9, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
February 24, 1978 - August 10, 1982
MORGAN STANLEY DW INC.
February 24, 1975 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
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: 6/29/1988
AMEX Put and Call ExamCurrent Firm
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
CRD#: 130390 / SEC#: , 8-66335
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RETHINK, LLC | OWNER | |
| ATKINS, BRADLEY DALE | OWNER | 2963790 |
| SHANAHAN, DANIEL JAMES | CHIEF EXECUTIVE OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | PRINCIPAL OPERATIONS OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | CHIEF COMPLIANCE OFFICER | 3277912 |
| WOODWARD, CASSANDRA TALEEN | CHIEF FINANCIAL OFFICER | 2956369 |
| WOODWARD, CASSANDRA TALEEN | PRINCIPAL FINANCIAL OFFICER & FINOP | 2956369 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
