Gar Wood Securities

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Gar Wood Securities, LLC is A U.S. broker-dealer that started business in 2004, and trades solely on an agency basis, providing their clients access to all major global markets covering equities, options, futures, fixed income, mutual funds and alternative investments in hedge funds and CTA’s. The principals are Robert Jersey, Dennis Gerecke, Mike Tattas, Sherry Gouwens, Craig Gantar and Brad Dooley.

Gar Wood Securities is a broker-dealer, headquartered in Chicago, with branch offices in Atlanta GA, Dallas TX, Basking Ridge NJ, Mobile AL, San Diego CA and Humacao Puerto Rico, and has rapidly earned a reputation for providing exceptional client service.

The company has earned top placement in annual surveys conducted by Global Custodian, a leading quarterly magazine covering the international securities service business, and was recognized by Pension and Investments as one of the nation’s top Equity Brokers for broker execution quality ranking, where it earned a top 10 spot in 4 out of 5 categories that was based on market capitalization.

Gar Wood's main lines of business include electronic trade execution (DMA or API) of equities, options and futures, clearing services for hegde funds, CTA and active traders, third-party marketing, and institutional brokerage sales and trading.

Awards

2010 Global Custodian prime brokerage survey results showed Gar Wood Securities as a top mini prime-broker. 1st place finish in the following categories: Overall best mini prime-broker, client services, margin, operations, securities lending, financing. 2nd place finish in the following categories: Consulting, value, cap intro.

2011 Global Custodian prime brokerage survey results listed Gar Wood Securities as the 2nd place finisher out of all prime brokers including all of the major brokerage firms

2014 Gar Wood Securities, LLC was recognized by Pension and Investments as one of the nation’s top Equity Brokers for broker execution quality ranking, where it earned a top 10 spot in 4 out of 5 categories that was based on market capitalization. The survey is a ranking of the top 50 U.S. brokers measured by the difference in cost/savings against the Elkins/McSherry Arrival Price universe, the industry standard in measuring market impact.

Key personnel

Robert Jersey - Partner, President and CEO
Mr. Jersey (Bob) is Partner, President and CEO of Gar Wood Securities, LLC, with more than 40 years of experience in the securities industry. Prior to establishing Gar Wood Securities, LLC in 2004, Mr. Jersey worked at as founder and manager of ABN AMRO’s Prime Brokerage Unit, Business Manager for ABN AMRO’s Corresponding Clearing unit, Associate Operations Manager for Montgomery Securities, Business Manager for The Chicago Corporation Correspondent Clearing Unit, and at Bache & Co. Bob has been in the financial services industry since 1972.

Dennis Gerecke - Partner, Executive Vice President and COO
Mr. Gerecke is Partner, Executive Vice President, and COO of Gar Wood Securities, LLC with over 30 years of experience in the financial services industry, where he focused on client service and brokerage operations. Prior to co-founding Gar Wood Securities, LLC in 2003, Mr. Gerecke was a VP and Manager of Client Services for the Professional Brokerage Services division of ABN AMRO, Assistant VP of Correspondent Clearing at the The Chicago Corporation, Operations Manager at Gardner Rich & Co, and at Mesirow Financial. Mr. Gerecke holds a BA in Business Administration from Lewis University. Dennis has been in the financial services industry since 1985.

Michael C. Tattas- Partner, Senior Vice President & Chief Compliance Officer

Mr. Tattas is Partner, Senior Vice President & Chief Compliance Officer of Gar Wood Securities, LLC, and has over 25 years of experience in the securities industry, with specific knowledge in the clearing, securities regulation, and risk management areas. In 2007, up to this date, he’s been Chief Compliance Officer at Gar Wood Securities, LLC and has held this title with other broker dealers over the past 15 years. Prior to joining Gar Wood Securities, LLC, he served as Chief Compliance Officer and Financial Principal at Turning Point Securities, and the Chicago Stock Exchange (CHX) and its subsidiary firms, the Midwest Securities Trust Company/Midwest Clearing Corporation in the market regulations department. Currently, Mr. Tattas maintains the Series 7, 24, 27, 55, 63, and 99 licenses. Mike has been in the financial services industry since 2000.

Sherry Gouwens- Partner, Senior Vice President & Chief Administrative Officer

Mrs. Gouwens is Partner, Senior Vice President & Chief Administrative Officer in Gar Wood Securities, LLC, with over 16 years of experience in the securities industry, focusing on administration, financial operations, and compliance. Before joining Gar Wood in 2006, Mrs. Gouwens worked at Turning Point Securities LLC, Sydan, LP, a Chicago Stock Exchange Member, and the American Bar Association, where she was the Director of Law Student Division and oversaw all of its activities including financials, programs, publications, and three national competitions. Mrs. Gouwens holds a master’s degree in Human Resources from Loyola University of Chicago and a BA in Organizational Management from Calumet College of St. Joseph. Sherry has been in the financial services industry since 2000

Craig Gantar- Senior Vice President & Sales Manager

Mr. Gantar is the Senior Vice President & Sales Manager of Gar Wood Securities, LLC and has over 17 years of experience in the securities industry including operations, client services, equity and equity options trading, compliance, and sales. Prior to joining Gar Wood Securities, LLC in 2007, Mr. Gantar was with Terra Nova Financial LLC where he managed client onboarding and daily support. Craig began his career at Hewitt Associates, where he was on the Pension and Health and Welfare support desk. Mr. Gantar holds a bachelor’s degree in Communications from Columbia College. Craig has been in the financial services industry since 1998.

Mr. Bradford R. Dooley- Chief Financial Officer

Mr. Dooley is the Chief financial Officer of Gar Wood Securities, LLC, and has over 30 years of experience in accounting services for privately held companies and individuals, specializing on the regulatory needs of commodity and security broker/dealers. Before joining Gar Wood Securities, LLC in 2009, Mr. Dooley established Bradford R. Dooley & Associates, he worked at Lipschultz & Associates and Checkers Simons & Rosner. Mr. Dooley is a part of the Illinois CPA Society, the American Institute of Certified Public Accountants (AICPA) and the Public Company Accounting Oversight Board (PCAOB), and holds a bachelor’s degree double major in Accounting and Economics from Southern Illinois University, Carbondale, IL. Brad has been in the financial services industry since 1985.


References

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External links