Daniel M. Gierek
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.
Daniel Martin Gierek was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1979. Daniel had worked at 6 firms and has passed the Series 65, Series 63, Series 15 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
October 26, 1993 - April 22, 1996
GRUNTAL & CO., L.L.C.
September 20, 1990 - October 5, 1993
PRUDENTIAL EQUITY GROUP, LLC
August 22, 1988 - September 6, 1990
UBS FINANCIAL SERVICES INC.
August 5, 1986 - September 1, 1988
CIBC WORLD MARKETS CORP.
August 25, 1982 - August 14, 1986
J.P. MORGAN SECURITIES LLC
July 27, 1979 - August 30, 1982
BLUNT ELLIS & LOEWI 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
Series 15
Date: 10/30/1985
Foreign Currency Options ExaminationCurrent Firm
GRUNTAL & CO., L.L.C.
CRD#: 372 / SEC#: , 8-31022
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRUNTAL FINANCIAL, L.L.C. | INTEREST HOLDER | |
| BRADLEY, RALPH HAMILTON JR | DIRECTOR, EXECUTIVE VICE PRESIDENT | 2802958 |
| COHEN, DONALD N | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | |
| JOHNSON, ROSEMARY | DIRECTOR, EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER | 1515631 |
| RITTEREISER, ROBERT PETER | DIRECTOR, CHAIRMAN, CEO | 400305 |
Disclosures
| Regulatory Event | 34 |
| Arbitration | 81 |
| Bond | 2 |
Red Flags
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