GH
Gerard L. Hammerschmidt
NEEDHAM & COMPANY
New York, NY 10177
Some features on this profile are disabled
CRD#: 1774381
GH
Professional summary
Gerard Lee Hammerschmidt JR, who also goes by Gerard Lee Hammerschmidt Jr, Gerard Lee Hammerschmidt, Jerry Hammerschmidt, is a registered financial professional currently at NEEDHAM & COMPANY, LLC located in New York, New York.
Gerard is registered as a RR (Registered Representative) and started their career in finance in 1987. Gerard has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 3, Series 4, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Gerard Lee Hammerschmidt Jr | Gerard Lee Hammerschmidt | Jerry Hammerschmidt
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.
CRS (Client Relationship Summary) - BD
Click below to view Gerard Lee Hammerschmidt JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 8, 2024 - Present
NEEDHAM & COMPANY, LLC
Office #1: 250 Park Avenue 10th Floor, New York, NY 10177RIA
BD
CRD#: 16360
New York, NY
Past
October 5, 2020 - April 29, 2024
MIZUHO SECURITIES USA LLC
BD
CRD#: 19647
NEW YORK, NY
Past
November 25, 2015 - September 2, 2020
MACRO RISK ADVISORS LLC
BD
CRD#: 148143
RYE, NY
Past
May 13, 2014 - October 20, 2015
SG AMERICAS SECURITIES, LLC
BD
CRD#: 128351
NEW YORK, NY
Past
January 11, 2006 - February 27, 2014
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
April 27, 2005 - September 30, 2005
BNP PARIBAS SECURITIES CORP.
BD
CRD#: 15794
NEW YORK, NY
Past
December 20, 1999 - April 28, 2005
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
July 12, 1990 - April 2, 1991
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
December 22, 1987 - May 9, 1990
BLINDER, ROBINSON & CO., INC.
BD
CRD#: 5096
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
N&
NEEDHAM & COMPANY, LLC
NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC
CRD#: 16360 / SEC#: 801-62735, 8-33772
RIA
Registered Investment Advisory firm - SEC (2/12/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(7/8/2024)
RR
Colorado(7/8/2024)
RR
Connecticut(7/8/2024)
RR
Florida(7/8/2024)
RR
Georgia(7/8/2024)
RR
Illinois(7/8/2024)
RR
Indiana(7/8/2024)
RR
Maryland(7/8/2024)
RR
Massachusetts(7/8/2024)
RR
Michigan(7/8/2024)
RR
Minnesota(7/8/2024)
RR
Nevada(7/8/2024)
RR
New Jersey(7/8/2024)
RR
New York(7/8/2024)
RR
North Carolina(7/8/2024)
RR
Ohio(7/8/2024)
RR
Oklahoma(7/8/2024)
RR
Pennsylvania(7/8/2024)
RR
Puerto Rico(7/8/2024)
RR
Rhode Island(7/8/2024)
RR
South Carolina(7/8/2024)
RR
Texas(7/8/2024)
RR
Washington(7/8/2024)
RR
Wisconsin(7/8/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 10/4/2011
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
N&
NEEDHAM & COMPANY, LLC
NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC
CRD#: 16360 / SEC#: 801-62735, 8-33772
RIA
Registered Investment Advisory firm - SEC (2/12/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
250 Park Avenue 10th Floor, New York, NY 10177
Mailing Address
250 Park Avenue 10th Floor, New York, NY 10177
Phone number
(212) 371-8300
Established
Delaware since 04/04/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
185
SEC notice filing (14 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEEDHAM HOLDINGS, LLC | MEMBER | |
| IACOVONE, JACK JAMES | MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING | 2877398 |
| PRIOR, JOHN JOSEPH JR | MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC. | 1076802 |
| ABBRUZZESE, JAMES MICHAEL | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES | 2960715 |
| FIORDALISO, ROBERT JOSEPH | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | 2518397 |
| LAUFER, DAVID MICHAEL | MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING | 4336854 |
| MALIK, ANDREW JOSEPH | MANAGING DIRECTOR, CHAIRMAN | 317860 |
| MALLOY, JOHN PATRICK | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | 5322002 |
| MALONEY, THOMAS ANTHONY | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | 2386331 |
| MERLINO, SALVATORE ANTHONY | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 4397078 |
Disclosures
| Regulatory Event | 27 |
Red Flags
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.
