Jerry C. Schraudenbach
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.
Jerry Charles Schraudenbach, who also goes by Gerald Schraudenbach, was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1958. Jerry had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, PC 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
December 9, 1996 - July 5, 2024
HUNTLEIGH SECURITIES CORPORATION
March 8, 1995 - December 17, 1996
MOSES.COM SECURITIES, INC.
September 30, 1989 - January 17, 1995
ADVEST, INC.
December 21, 1981 - September 30, 1989
NEWHARD, COOK & CO. INCORPORATED
May 5, 1958 - January 6, 1982
STIX & CO., 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 12/7/1989
AMEX Put and Call ExamSeries 1
Date: 5/5/1958
Registered Representative ExaminationCurrent Firm
HUNTLEIGH SECURITIES CORPORATION
CRD#: 7456 / SEC#: , 8-21893
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHAMBERS, ROBERT LEWIS | PRESIDENT/DIRECTOR/OWNER | 1231649 |
| GAO CONSULTING, LLC | OWNER | |
| CHAMBERS, ROBERT BARRETT | DIRECTOR | 6963634 |
| LEOPOLD, MICHAEL WARREN | DIRECTOR | 306991 |
| MARSHALL, CATHERINE TERRY | CCO/DIRECTOR/CORPORATE SECRETARY | 1445205 |
| O'CONNELL, CHRISTOPHER CORY | DIRECTOR | 5008251 |
| OVERSCHMIDT, GREG ALFRED | DIRECTOR | 1160877 |
| THOMAS, KAREN LEE | CHIEF OPERATIONS OFFICER AND FIN/OP | 1970467 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
