Karl J. Gerlach
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.
Karl John Gerlach was a registered financial advisor .
Karl is a previously registered financial advisor and started their career in finance in 1968. Karl had worked at 9 firms and has passed the Series 65, Series 63, Series 1 and Series 00 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, 2009 - June 9, 2014
NATIONAL PLANNING CORPORATION
February 17, 2009 - June 9, 2014
NATIONAL PLANNING CORPORATION
January 1, 1996 - December 31, 2013
STERLING FINANCIAL SERVICES, INC.
January 1, 1994 - March 4, 2009
OSAIC WEALTH, INC.
April 6, 1991 - January 1, 1994
CYPRESS CAPITAL CORPORATION
April 11, 1990 - August 7, 1991
OSAIC WEALTH, INC.
December 19, 1985 - March 20, 1990
INTEGRATED RESOURCES EQUITY CORPORATION
September 28, 1982 - July 12, 1985
CAL-CAP SECURITIES, INC.
June 4, 1973 - October 13, 1982
WESCO SECURITIES, INC.
April 21, 1971 - June 24, 1973
INDEPENDENT TRADING CORP
November 12, 1968 - June 24, 1973
INDEPENDENT SECURITIES CORPORATION
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
Series 1
Date: 2/5/1968
Registered Representative ExaminationSeries 00
Date: 12/16/1971
General Securities Principal ExaminationCurrent Firm
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
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.
