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EG

Erich Gerth

CRD# 1484380·Registered 1986 - 2012
Previously Registered: Being a previously registered professional could mean that Erich 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.

Professional Summary

Erich Gerth, who also goes by Eric Paul Gerth, Erich Paul Gerth, was a registered financial advisor. Erich was a previously registered financial professional and started their career in finance 1986 - 2012. Erich had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Eric Paul Gerth, Erich Paul Gerth

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

ATHENE SECURITIES, LLC·CRD# 36867
BD
Chicago, IL
January 11, 2011 - October 22, 2012
JANUS HENDERSON DISTRIBUTORS US LLC·CRD# 28832
BD
Denver, CO
July 23, 2003 - June 12, 2009
GOLDMAN SACHS & CO. LLC·CRD# 361
BD
New York, NY
June 22, 2001 - July 29, 2003
SCUDDER WEISEL CAPITAL, LLC·CRD# 104088
BD
San Francisco, CA
October 19, 2000 - April 25, 2001
GOLDMAN SACHS & CO. LLC·CRD# 361
BD
New York, NY
January 1, 1998 - August 22, 2000
INVESCO CAPITAL MARKETS, INC.·CRD# 6939
BD
Houston, TX
December 4, 1992 - December 23, 1997
CIBC WORLD MARKETS CORP.·CRD# 630
BD
New York, NY
January 16, 1991 - August 25, 1992
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
July 7, 1989 - February 4, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
December 18, 1986 - July 13, 1989
FIRST JERSEY SECURITIES, INC.·CRD# 6621
BD
April 25, 1986 - December 18, 1986

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Current Firm

AS
ATHENE SECURITIES, LLC

ATHENE SECURITIES IOWA, LLC | IL SECURITIES, LLC | IL SECURITIES, INC. | IL SECURITIES LLC | AVIVA SECURITIES, LLC | ATLAS SP SECURITIES | ATHENE SECURITIES, LLC

CRD#: 36867 / SEC#: 8-47499
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Contact Information

Main Address

7700 Mills Civic Parkway, West Des Moines, IA 50266

Mailing Address

7700 Mills Civic Parkway, West Des Moines, IA 50266

Phone Number

(515) 342-4616

Established

Indiana since 04/21/2006

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Medium

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ATHENE USA CORPORATIONATHENE SECURITIES, LLC—
BATTERSON, CHAD MPRESIDENT, COO, FINOP4880009
BURTON, SHEILA SUECHIEF COMPLIANCE OFFICER—
GEYELIN, ANTONY LAUSSAT IIIVICE PRESIDENT4605388
HUNT, ANGELA JEANCOMPLIANCE OFFICER7192588

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1987About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 1986About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 2001About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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