Jerome J. Brault
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.
Jerome Joseph Brault was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1962. Jerome had worked at 4 firms and has passed the Series 41, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 1984 - June 19, 2012
BRAUVIN SECURITIES, INC.
October 25, 1974 - August 28, 1980
BURTON J. VINCENT, CHESLEY & CO.
March 14, 1969 - October 25, 1974
CHESLEY & CO INC
June 1, 1962 - December 19, 1989
THE CHICAGO CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 41
Date: 1/1/1975
NYSE Allied Member ExaminationSeries 000
Date: 6/1/1962
General Securities Principal ExaminationSeries 1
Date: 12/19/1961
Registered Representative ExaminationCurrent Firm
BRAUVIN SECURITIES, INC.
CRD#: 14703 / SEC#: , 8-31078
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAULT, JAMES LANDRIGAN | CHAIRMAN OF THE BOARD, PRESIDENT & CHIEF COMPLIANCE OFFICER | 2409070 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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