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Overview

Services

Advisor Services

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Funds

Funds Used With Clients

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Firm Client types

Qualifications

Experience

No timeline events available.
Employer Years Dates
Nylife Securities LLC 6 years, 2 months Oct 2010 - Present
New York Life Ins Co 6 years, 2 months Oct 2010 - Present
Bank of America 9 months Aug 2009 - May 2010
Merrill Lynch 1 year, 8 months Sep 2008 - May 2010
High Road Capital 2 years Sep 2006 - Sep 2008
Eyeon Partners LLC 1 year, 7 months Jan 2005 - Aug 2006
Adams Harkness & Hill 10 years, 5 months Jun 1994 - Nov 2004

Designations & Memberships

  • National Association of Insurance and Financial Advisors
    Membership
    National Association of Insurance and Financial Advisors
    NAIFA comprises more than 600 state and local associations representing the interests of approximately 200,000 agents and their associates nationwide. NAIFA members focus their practices on one or more of the following: life insurance and annuities, health insurance and employee benefits, multiline, and financial advising and investments. The Association’s mission is to advocate for a positive legislative and regulatory environment, enhance business and professional skills, and promote the ethical conduct of its members.

Articles and Answers

Insights by Gordon Szerlip

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Answers

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Licenses & Conducts

SEC
U.S. Securities and Exchange Commission
  • license status
    Not registered
  • disclosures
    None
  • as of date
    Jun 27, 2012
FINRA
FINRA
  • license status
    Registered
  • disclosures
    None
  • as of date
    Apr 11, 2016
Review the status and details of the disclosures noted above using the SEC's Investment Advisor Public Disclosure website:

Assets

Assets

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Fees

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