WG

Walter V. Gerasimowicz

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CRD#: 2319309
WG

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


Are you a "fiduciary"?
No

Aliases


None

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)


The CRS(Customer Relationship Summary) document is not provided.

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Past

November 13, 1995 - April 11, 2003

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

July 25, 1994 - November 13, 1995

JPMSI

BD
CRD#: 15733
NEW YORK, NY

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 16
Date: 4/26/1995
NYSE Supervisory Analyst Examination
General Industry/Product Exam

Current Firm


LB
LEHMAN BROTHERS INC.
LEHMAN BROTHERS | SHEARSON/AMERICAN EXPRESS INC. | SHEARSON LOEB RHOADES INC. | SHEARSON LEHMAN/AMERICAN EXPRESS INC. | SHEARSON LEHMAN HUTTON INC. | SHEARSON LEHMAN BROTHERS INC. | LEHMAN BROTHERS, INC. | LEHMAN BROTHERS MARKET MAKERS | LEHMAN BROTHERS INC.

CRD#: 7506 / SEC#: , 8-12324

BD
Cancelled by SEC on 12/07/2016
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Contact information


Main Address
Mailing Address
Phone number
Established
Delaware since 01/21/1965
Firm type
Corporation
Fiscal year end
November
# of Employees

Documents


Direct owners and executive officers


NamePositionCRD#
LEHMAN BROTHERS HOLDINGS INC.SOLE SHAREHOLDER
CLARK, HOWARD LONGSTRETH JRDIRECTOR47587
CRUIKSHANK, THOMAS HENRYDIRECTOR4708135
FREIDHEIM, SCOTT JONCO-CHIEF ADMINISTRATIVE OFFICER1766230
FULD, RICHARD SEVERIN JRDIRECTOR/CHAIRMAN AND CEO215527
LOWITT, IAN THEOCO-CHIEF ADMINISTRATIVE OFFICER4210205
MCDADE III, HERBERT H.PRESIDENT AND CHIEF OPERATING OFFICER1185218
RUSSO, THOMAS ANTHONYCHIEF LEGAL OFFICER3188169

Disclosures


Regulatory Event359
Civil Event1
Arbitration527

Red Flags


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Company Information


LEHMAN BROTHERS INC.

CRD#: 7506

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