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HG

Harry W. Gerson

PGP CAPITAL ADVISORS
Los Angeles, CA 90017
Some features on this profile are disabled
CRD#: 4834079
HG

Professional summary

Harry William Gerson, who also goes by Hershel William Gerson, Hershel Gerson, is a registered financial professional currently at PGP CAPITAL ADVISORS, LLC located in Los Angeles, California.

Harry is registered as a RR (Registered Representative) and started their career in finance in 2004. Harry has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Hershel William Gerson | Hershel Gerson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Harry William Gerson's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 20, 2023 - Present

PGP CAPITAL ADVISORS, LLC

Office #1: 865 S. Figueroa Street Suite 1330, Los Angeles, CA 90017
BD
CRD#: 128797
Los Angeles, CA
Past

October 19, 2020 - August 1, 2022

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
LOS ANGELES, CA
Past

July 30, 2019 - October 20, 2020

INDEPENDENT BROKERAGE SOLUTIONS LLC

BD
CRD#: 153563
Los Angeles, CA
Past

August 10, 2017 - July 29, 2019

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
LOS ANGELES, CA
Past

September 19, 2014 - April 4, 2017

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
SAN FRANCISCO, CA
Past

May 30, 2013 - February 25, 2014

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
SANTA MONICA, CA
Past

September 8, 2004 - May 28, 2013

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(9/20/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/23/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/7/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/13/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PGP CAPITAL ADVISORS, LLC
PACIFIC GEMINI PARTNERS, LLC | PGP CAPITAL ADVISORS, LLC

CRD#: 128797 / SEC#: , 8-66180

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
865 S. Figueroa Street Suite 1330, Los Angeles, CA 90017
Mailing Address
865 S. Figueroa Street Suite 1330, Los Angeles, CA 90017
Phone number
(310) 268-0885
Established
Delaware since 07/10/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PGP HOLDINGS, LLCPARENT
COLLINS, ELIZABETH SARAHFINOP4714831
KIM, STEWART MICHAELCHIEF COMPLIANCE OFFICER1715034

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.

Company Information

PGP CAPITAL ADVISORS, LLC

CRD#: 128797Los Angeles, CA 90017

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