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GV

Gerard N. Von Dohlen

BROADHAVEN SECURITIES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 2914891
GV

Professional summary

Gerard Nicholas Von Dohlen JR., who also goes by Gerard Nicholas Vondohlen Jr, Jerry Vondohlen Jr, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gerard Nicholas Vondohlen Jr | Jerry Vondohlen Jr

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gerard Nicholas Von Dohlen JR.'s CRS (Customer Relationship Summary).

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

Current

November 1, 2011 - Present

BROADHAVEN SECURITIES LLC

Office #1: 330 Madison Ave 28th Floor, New York, NY 10017
BD
CRD#: 157804
New York, NY
Past

January 7, 2010 - November 18, 2011

BEECH HILL SECURITIES, INC.

BD
CRD#: 24771
NEW YORK, NY
Past

July 17, 2006 - July 1, 2009

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

May 9, 2002 - July 3, 2006

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

September 13, 1999 - March 28, 2002

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

June 17, 1998 - September 7, 1999

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arkansas
(5/27/2021)
RR
California
(12/6/2011)
RR
Connecticut
(1/3/2012)
RR
Florida
(3/10/2017)
RR
Georgia
(11/29/2011)
RR
Illinois
(11/3/2011)
RR
Kansas
(1/12/2012)
RR
Massachusetts
(2/17/2017)
RR
New Jersey
(1/4/2021)
RR
New York
(11/28/2011)
RR
North Carolina
(2/3/2017)
RR
South Dakota
(2/9/2024)
RR
Virginia
(6/8/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 10/17/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/15/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/30/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BROADHAVEN SECURITIES LLC
BROADHAVEN SECURITIES LLC

CRD#: 157804 / SEC#: , 8-68862

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
155 North Wacker Suite 4440, Chicago, IL 60606
Mailing Address
155 North Wacker Suite 4440, Chicago, IL 60606
Phone number
(312) 621-9801
Established
Delaware since 04/04/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BROADHAVEN CAPITAL PARTNERS, LLCOWNER
LOCKWOOD, MEGHAN EILEENCFO/FINOP4474368
PHILLIPS, GREGORY ALLENCEO/CCO/AMLCO/ER3269223
VON DOHLEN, GERARD NICHOLAS JR.PRINCIPAL2914891

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.

Company Information

BROADHAVEN SECURITIES LLC

CRD#: 157804New York, NY 10017

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