Walter V. Gerasimowicz
Professional summary
Walter Vladimir Gerasimowicz was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Walter is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Walter had worked at 2 firms, which includes LEHMAN BROTHERS INC., JPMSI.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 1995 - April 11, 2003
LEHMAN BROTHERS INC.
July 25, 1994 - November 13, 1995
JPMSI
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
LEHMAN BROTHERS INC.
CRD#: 7506 / SEC#: , 8-12324
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEHMAN BROTHERS HOLDINGS INC. | SOLE SHAREHOLDER | |
| CLARK, HOWARD LONGSTRETH JR | DIRECTOR | 47587 |
| CRUIKSHANK, THOMAS HENRY | DIRECTOR | 4708135 |
| FREIDHEIM, SCOTT JON | CO-CHIEF ADMINISTRATIVE OFFICER | 1766230 |
| FULD, RICHARD SEVERIN JR | DIRECTOR/CHAIRMAN AND CEO | 215527 |
| LOWITT, IAN THEO | CO-CHIEF ADMINISTRATIVE OFFICER | 4210205 |
| MCDADE III, HERBERT H. | PRESIDENT AND CHIEF OPERATING OFFICER | 1185218 |
| RUSSO, THOMAS ANTHONY | CHIEF LEGAL OFFICER | 3188169 |
Disclosures
| Regulatory Event | 359 |
| Civil Event | 1 |
| Arbitration | 527 |
Red Flags
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