Bertram H. Aber
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.
Bertram Herbert Aber, who also goes by Abramowitz Aber, Bertram H Aber, was a registered financial professional .
Bertram is a previously registered financial professional and started their career in finance in 1969. Bertram had worked at 4 firms and has passed the Series 63, PC, Series 5, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 1989 - October 23, 1990
LEHMAN BROTHERS INC.
October 18, 1973 - March 20, 2006
W. T. CABE & COMPANY, INC.
December 8, 1969 - June 10, 1976
C B BEAL & CO LTD
August 15, 1969 - November 16, 1973
A. C. KLUGER & CO.
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
PC
Date: 5/14/1989
AMEX Put and Call ExamSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 1
Date: 5/8/1964
Registered Representative ExaminationSeries 00
Date: 8/11/1969
General Securities Principal ExaminationCurrent Firm
LEHMAN BROTHERS INC.
CRD#: 7506 / SEC#: , 8-12324
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEHMAN BROTHERS HOLDINGS INC. | SOLE SHAREHOLDER | |
| CLARK, HOWARD LONGSTRETH JR | DIRECTOR | 47587 |
| CRUIKSHANK, THOMAS HENRY | DIRECTOR | 4708135 |
| FREIDHEIM, SCOTT JON | CO-CHIEF ADMINISTRATIVE OFFICER | 1766230 |
| FULD, RICHARD SEVERIN JR | DIRECTOR/CHAIRMAN AND CEO | 215527 |
| LOWITT, IAN THEO | CO-CHIEF ADMINISTRATIVE OFFICER | 4210205 |
| MCDADE III, HERBERT H. | PRESIDENT AND CHIEF OPERATING OFFICER | 1185218 |
| RUSSO, THOMAS ANTHONY | CHIEF LEGAL OFFICER | 3188169 |
Disclosures
| Regulatory Event | 359 |
| Civil Event | 1 |
| Arbitration | 527 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
LEHMAN BROTHERS INC.
CRD#: 7506TRUST BUT VERIFY
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