Deborah J. Gersten
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.
Deborah Jeanne Gersten, who also goes by Debbie Gersten, Deborah J Gersten, Deborah Jeanne Olson, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1996. Deborah had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2008 - May 3, 2012
NATWEST MARKETS SECURITIES INC.
August 22, 2008 - December 12, 2008
RBS SECURITIES CORPORATION
March 14, 2006 - August 8, 2008
ABN AMRO INCORPORATED
May 24, 2005 - March 2, 2006
NEEDHAM & COMPANY, LLC
January 7, 2004 - April 14, 2005
DELOITTE CORPORATE FINANCE LLC
July 1, 1998 - November 13, 2000
ABN AMRO SECURITIES LLC
March 26, 1998 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
May 31, 1996 - March 2, 1998
CHATFIELD DEAN & CO., 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
NATWEST MARKETS SECURITIES INC.
CRD#: 11707 / SEC#: , 8-37135
Contact information
FINRA licenses (49 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBS HOLDINGS USA INC. | SHAREHOLDER | |
| AUSBURN, MICHAEL THOMAS | DIRECTOR / CHIEF FINACIAL OFFICER | 2523037 |
| BROWER, LISA | SECRETARY, GENERAL COUNSEL | 6177644 |
| BUCCI, MICHELLE A | CHIEF OPERATING OFFICER | 5192971 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GIRARD, MICHELLE COLLEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 2185240 |
| ROOSE, SCOTT | DIRECTOR | 2539705 |
| SPEZZANO, CASEY RYAN | DIRECTOR | 4678231 |
Disclosures
| Regulatory Event | 43 |
| Civil Event | 4 |
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.
