Gerard Nicholas Von Dohlen Jr.
Professional Summary
Gerard Nicholas Von Dohlen JR., who also goes by Gerard Nicholas Vondohlen Jr, Jerry Vondohlen Jr, is a registered financial advisor currently at BROADHAVEN SECURITIES LLC located in New York, New York. Gerard is registered as a RR (Registered Representative) and started their career in finance in 1998. Gerard has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Gerard Nicholas Vondohlen Jr, Jerry Vondohlen Jr
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
BROADHAVEN SECURITIES LLC
Contact Information
Main Address
155 North Wacker Suite 4440, Chicago, IL 60606Mailing Address
155 North Wacker Suite 4440, Chicago, IL 60606Phone Number
(312) 621-9801Established
Delaware since 04/04/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (28 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(5/27/2021)
(12/6/2011)
(1/3/2012)
(3/10/2017)
(11/29/2011)
(11/3/2011)
(1/12/2012)
(2/17/2017)
(1/4/2021)
(11/28/2011)
(2/3/2017)
(2/9/2024)
(6/8/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Gerard Nicholas Von Dohlen JR.'s CRS (Customer Relationship Summary).
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