Gary T. Bolt
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 Thomas Bolt was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1978. Gary had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2001 - March 20, 2003
J.J.B. HILLIARD, W.L. LYONS, LLC
October 1, 1999 - March 8, 2001
WELLS FARGO CLEARING SERVICES, LLC
October 8, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
June 23, 1994 - September 25, 1998
J.C. BRADFORD & CO.
August 27, 1990 - June 22, 1994
WACHOVIA SECURITIES, INC.
November 8, 1989 - October 3, 1990
PRUDENTIAL EQUITY GROUP, LLC
August 25, 1989 - September 11, 1989
PRUDENTIAL EQUITY GROUP, LLC
January 26, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
April 11, 1988 - January 11, 1989
FIRST TRYON SECURITIES, INC.
July 6, 1981 - April 19, 1988
WACHOVIA SECURITIES, INC.
March 15, 1979 - July 14, 1981
E. F. HUTTON & COMPANY INC
March 1, 1978 - April 19, 1979
PRUDENTIAL EQUITY GROUP, 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
Current Firm
J.J.B. HILLIARD, W.L. LYONS, LLC
CRD#: 453 / SEC#: 801-23120, 8-33133
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HL FINANCIAL SERVICES, LLC | MEMBER | |
| ALLEN, JAMES REID | CHAIRMAN OF THE BOARD, CEO | 1014622 |
| AMATO, ANTHONY NICHOLAS JR | PRINCIPAL OPERATIONS OFFICER | 1329288 |
| ASFAHL, DONALD LEE | EXECUTIVE VICE PRESIDENT | 2824358 |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| CUTSINGER, CHARLES JOSEPH JR. | EXECUTIVE VICE PRESIDENT | 2065360 |
| GRIMLEY, CHARLES MORRISON | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER | 1121284 |
| KAPLAN, ELIZABETH C | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4619011 |
| KESSINGER, THOMAS BURKS III | DIRECTOR, PRESIDENT | 2366538 |
| MILLER, CARMELLA RASI | CHIEF RISK OFFICER, EXECUTIVE VICE PRESIDENT | 1879379 |
| NEWMAN, ALAN HAMBURG | EXECUTIVE VICE PRESIDENT | 719981 |
| PAPACHRISTOU, NICHOLAS | CHIEF MARKETING OFFICER, EXECUTIVE VICE PRESIDENT | 6464162 |
| PURCELL, PAUL EDWARD | DIRECTOR | 844873 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| WHITE, JALEIGH JEFFERS | EXECUTIVE VICE PRESIDENT | 5950788 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 31 |
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.
