Jerette L. Lerner
Professional summary
Jerette Leslie Lerner was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jerette is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Jerette had worked at 4 firms, which includes RYAN BECK & CO., A. G. EDWARDS & SONS INC., CITIGROUP GLOBAL MARKETS INC., HALPERT AND COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2006 - June 5, 2007
RYAN BECK & CO.
July 27, 2006 - June 5, 2007
RYAN BECK & CO.
March 26, 2004 - June 16, 2006
A. G. EDWARDS & SONS, INC.
March 26, 2004 - June 16, 2006
A. G. EDWARDS & SONS, INC.
May 8, 2002 - April 6, 2004
CITIGROUP GLOBAL MARKETS INC.
June 7, 1996 - April 6, 2004
CITIGROUP GLOBAL MARKETS INC.
May 5, 1993 - June 16, 1994
HALPERT AND COMPANY, INC.
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
RYAN BECK & CO.
CRD#: 3248 / SEC#: , 8-12296
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RYAN BECK HOLDINGS, INC | SHAREHOLDER | |
| CULLEN, THOMAS WILLIAM | CHIEF FINANCIAL OFFICER | 2702098 |
| KRUSZEWSKI, RONALD JAMES | DIRECTOR | 1434827 |
| PELLEGRINO, JOHN RICHTER | SENIOR V.P.,DIRECTOR OF COMPLIANCE | 826719 |
| PLOTKIN, BEN ALAN | CHAIRMAN AND CEO, DIRECTOR | 1692122 |
| STEGELAND, GARRY JOSEPH | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 1881270 |
| ZEMLYAK, JAMES MARK | DIRECTOR | 1586132 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 5 |
Red Flags
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