0000311887-23-000007.txt : 20231101 0000311887-23-000007.hdr.sgml : 20231101 20231101162731 ACCESSION NUMBER: 0000311887-23-000007 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 MA-I INDIVIDUAL: HOWELL,JOHN,FRANCIS,JR. FILED AS OF DATE: 20231101 DATE AS OF CHANGE: 20231101 FILER: COMPANY DATA: COMPANY CONFORMED NAME: THE GMS GROUP, LLC CENTRAL INDEX KEY: 0000311887 IRS NUMBER: 770606720 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-04873 FILM NUMBER: 231368640 BUSINESS ADDRESS: STREET 1: 120 EAGLE ROCK AVE STREET 2: SUITE 300 CITY: EAST HANOVER STATE: NJ ZIP: 07936 BUSINESS PHONE: 973-535-5000 MAIL ADDRESS: STREET 1: 120 EAGLE ROCK AVE STREET 2: SUITE 300 CITY: EAST HANOVER STATE: NJ ZIP: 07936 FORMER COMPANY: FORMER CONFORMED NAME: GMS GROUP, LLC DATE OF NAME CHANGE: 20191213 FORMER COMPANY: FORMER CONFORMED NAME: THE GMS GROUP, LLC DATE OF NAME CHANGE: 20030305 FORMER COMPANY: FORMER CONFORMED NAME: GMS GROUP LLC DATE OF NAME CHANGE: 20000101 MA-I/A 1 primary_doc.xml MA-I/A 0000311887 XXXXXXXX Thomas Regenye 973-548-2526 tregenye@gmsgroup.com tregenye@gmsgroup.com N 0000311887-14-000003 N John Francis Howell Jr. 502534 N 1 0000311887 THE GMS GROUP, LLC 11-08-1995 N 09-02-2014 0000311887 LOCATED SUPERVISED 09-02-2014 5075 Westheimer Ste 1175 Houston TX 77056 11-1995 The GMS Group, LLC Houston TX 77056 Y Y Senior Vice President/ Financial Advisor Y 05-2011 JR9JT196, LP 4299 San Philipe Suite 370 Houston TX 77027 N N Limited Partnership Limited Partner 1 Limited Partner N N N N N N N N N N N N N Y N N Y Y N N N N N N N N N N N N N N N Y N N N N N N N N N N N N N N N N 11-01-2023 Thomas Regenye VP Compliance John Francis Howell Jr. 502534 145020 6D(1)(e) 6D(1)(a) 6D(1)(d) John Francis Howell 502534 157832 6H(1)(a)