Gerald G. Brauer
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.
Gerald Gerhardt Brauer, who also goes by Gerry Brauer, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1969. Gerald had worked at 8 firms and has passed the Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 1998 - March 22, 2002
STERLING ENTERPRISES GROUP, INC.
August 20, 1986 - August 21, 1998
BRAUER & ASSOCIATES, INC.
June 3, 1982 - August 12, 1982
KELLEY-ROESKE, INC.
June 3, 1982 - June 19, 1987
NIES/BRAUER SECURITIES, INC.
May 21, 1981 - January 4, 1982
FIRST FLORIDA SECURITIES, INC.
March 31, 1981 - August 23, 1981
S. LEE PUCKETT, INC.
May 21, 1974 - May 3, 1981
RAYMOND JAMES & ASSOCIATES, INC.
August 12, 1969 - June 20, 1974
A. G. EDWARDS & SONS, 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
Series 1
Date: 11/29/1968
Registered Representative ExaminationSeries 40
Date: 9/14/1972
Registered Principal ExaminationCurrent Firm
STERLING ENTERPRISES GROUP, INC.
CRD#: 44915 / SEC#: , 8-50876
Contact information
Documents
Disclosures
| Arbitration | 2 |
Red Flags
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