Gerald D. Schaub
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.
Gerald Dale Schaub, who also goes by Jerry Schaub, was a registered financial advisor .
Gerald is a previously registered financial advisor and started their career in finance in 1982. Gerald had worked at 14 firms and has passed the Series 63, Series 65, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2008 - December 31, 2008
AFA ADVISOR SERVICES LLC
January 3, 2008 - December 31, 2008
AFA FINANCIAL GROUP, LLC
May 2, 2007 - December 31, 2007
SOUTH LAKE AVENUE SECURITIES CORPORATION
April 18, 2007 - December 31, 2007
SOUTH LAKE AVENUE SECURITIES CORPORATION
July 7, 2006 - April 3, 2007
PUTNAM INVESTMENT MANAGEMENT, LLC
January 31, 2003 - April 3, 2007
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
July 22, 1999 - November 14, 2001
COREBRIDGE CAPITAL SERVICES, INC.
August 26, 1996 - August 26, 1996
BNY MELLON SECURITIES CORPORATION
January 11, 1995 - July 17, 1996
J.P. MORGAN SECURITIES LLC
September 1, 1987 - December 12, 1994
FEDERATED SECURITIES CORP.
September 9, 1986 - August 6, 1987
INSTITUTIONAL FINANCIAL SERVICES, INC.
December 24, 1985 - June 23, 1986
CHURCHILL INVESTMENT CORPORATION
December 5, 1985 - December 21, 1985
PARLIAMENT SECURITIES CORP.
October 22, 1982 - December 27, 1984
FSC SECURITIES CORPORATION
August 24, 1982 - November 4, 1982
STRUCTURED SHELTERS SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current firm
No current employment
Red Flags
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