Jerry I. Treppel
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.
Jerry Ira Treppel was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1988. Jerry had worked at 9 firms and has passed the 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
April 23, 2013 - May 27, 2016
FINANCIAL WEST GROUP
April 17, 2009 - January 14, 2013
LEDGEMONT SECURITIES LLC
April 2, 2003 - May 16, 2003
SANDERS MORRIS LLC
June 14, 1999 - July 12, 2002
BANC OF AMERICA SECURITIES LLC
June 29, 1998 - June 15, 1999
UBS SECURITIES LLC
February 1, 1995 - June 29, 1998
SBC WARBURG DILLON READ INC.
July 20, 1993 - January 11, 1995
KIDDER, PEABODY & CO. INCORPORATED
July 26, 1989 - July 16, 1993
ABN AMRO SECURITIES LLC
March 9, 1988 - July 10, 1989
SWERGOLD, CHEFITZ & 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
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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