Erhard H. Nollmann
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Erhard Henry Nollmann was a registered financial professional .
Erhard is a previously registered financial professional and started their career in finance in 1981. Erhard had worked at 6 firms and has passed the Series 63, Series 7, Series 15, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2000 - October 13, 2003
GUNNALLEN FINANCIAL, INC
April 18, 1997 - April 17, 2000
BIRCHTREE FINANCIAL SERVICES LLC
June 20, 1995 - May 28, 1997
MCC SECURITIES, INC.
March 3, 1995 - June 5, 1995
STIFEL INDEPENDENT ADVISORS, LLC
December 20, 1994 - March 14, 1995
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 13, 1993 - August 15, 1994
PRUDENTIAL EQUITY GROUP, LLC
December 11, 1981 - July 27, 1989
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 7/30/1987
Foreign Currency Options ExaminationSeries 8
Date: 12/16/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
Red Flags
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