Gary S. Utkov
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.
Gary Sellers Utkov was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1976. Gary had worked at 9 firms and has passed the SIE, Series 7, Series 53 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2001 - December 3, 2015
FIRST SOUTHWEST COMPANY, LLC
April 28, 1998 - August 10, 2001
HARTFIELD, TITUS & DONNELLY, LLC
January 29, 1997 - February 12, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
March 17, 1994 - January 22, 1997
MORGAN KEEGAN & COMPANY, LLC
September 27, 1993 - March 9, 1994
CITIGROUP GLOBAL MARKETS INC.
May 8, 1987 - September 28, 1993
LEHMAN BROTHERS INC.
January 31, 1980 - April 23, 1987
UBS FINANCIAL SERVICES INC.
August 30, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
December 2, 1976 - June 10, 1979
GOLDMAN SACHS & CO. 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 8
Date: 3/4/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST SOUTHWEST COMPANY, LLC
CRD#: 316 / SEC#: , 8-1523
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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