Rudolph M. Gerlich
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.
Rudolph Max Gerlich JR., who also goes by Rudolph Max Gerlich, Rudolph Max Jr Gerlich, Rudolph Max Jr Gerlish, was a registered financial professional .
Rudolph is a previously registered financial professional and started their career in finance in 2009. Rudolph had worked at 2 firms and has passed the SIE and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2010 - February 7, 2012
DB SECURITIES SERVICES NJ INC.
November 10, 2009 - December 31, 2019
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
DB SECURITIES SERVICES NJ INC.
CRD#: 142775 / SEC#: , 8-67490
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DEUTSCHE BANK SECURITIES INC. | STOCKHOLDER | |
| AXELROD, MARK ELLIOT | CHIEF EXECUTIVE OFFICER | 1335937 |
| CHEN, MARY | CHIEF FINANCIAL OFFICER/FINOP | 2540220 |
| GERLICH, RUDOLPH MAX JR. | CHIEF COMPLIANCE OFFICER | 2746180 |
| POLIZZOTTO, JOSEPH | CHIEF LEGAL OFFICER | 4730994 |
| STUCCHIO, ANTHONY | DIRECTOR/CHIEF OPERATIONS OFFICER | 2198592 |
Red Flags
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