Robert A. Gaudreau
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.
Robert Alan Gaudreau, who also goes by Rob Gaudreau, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 1997 - July 15, 2024
LEERINK PARTNERS LLC
October 27, 1992 - February 24, 1997
J.P. MORGAN SECURITIES LLC
May 16, 1991 - October 16, 1992
MORGAN STANLEY DW INC.
June 15, 1989 - May 2, 1991
LEHMAN BROTHERS INC.
May 21, 1987 - September 3, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
LEERINK PARTNERS LLC
CRD#: 39011 / SEC#: 801-68264, 8-48535
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEERINK INTERMEDIATE HOLDINGS LLC | MEMBER | |
| CASEY, KEVIN MICHAEL | CHIEF COMPLIANCE OFFICER | 4754440 |
| DAVIDSON, THOMAS ADAM | SENIOR MANAGING DIRECTOR | 2248233 |
| DUBIN, DANIEL BARRY | SENIOR MANAGING DIRECTOR | 3231063 |
| GENTILE, JOSEPH ROBERT | CHIEF ADMINISTRATIVE OFFICER | 2545927 |
| HEINEMAN, STEVEN P | GENERAL COUNSEL | 5386950 |
| JURKIEWICZ, GREGG MARTIN | FINOP | 4440135 |
| LEERINK, JEFFREY ALAN | CEO | 1718986 |
| OLSON, ERIC PATRICK | PRINCIPAL OPERATIONS OFFICER | 2542584 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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