Gerald Gibbons is an experienced Chief Compliance Officer with an extensive background in the financial industry. He has worked in the industry for over twenty-five (25) years and brings our clients a unique approach and view from the many sales, operations and compliance positions he has held throughout his career.
Prior to his role at CXG, Mr. Gibbons was the Senior Compliance Officer at New York Life/NYLIFE Securities, where he worked as a specialist in Advertisement/Marketing Review and Internal Audit. Mr. Gibbons was 2nd in command of compliance at American Portfolios, tasked with supervising all aspects of advisory and broker-dealer compliance for 500+ financial professionals. He was the agency compliance officer for Guardian Life/Park Avenue Securities, an office of 300+ representatives and advisors. Mr. Gibbons also held compliance roles at TD Waterhouse and Datek Online, where he was responsible for ESOP programs, corporate actions, international trade surveillance, and served as a registered options principal.
Mr. Gibbons holds Series 4, 7, 24, 52, 63, 79 and 99 licenses.