Ernest P. Werlin
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.
Ernest Pyle Werlin was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1970. Ernest had worked at 10 firms and has passed the Series 63, Series 7, Series 41, 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, 2001 - January 12, 2005
LAZARD FRERES & CO. LLC
October 11, 2000 - July 11, 2001
SECURITY DEALERS GUILD, INC.
May 12, 1989 - June 29, 1990
THE STAMFORD COMPANY, INC.
August 12, 1988 - January 20, 1989
J.P. MORGAN SECURITIES LLC
April 21, 1980 - June 2, 1988
MORGAN STANLEY & CO. LLC
April 20, 1978 - May 21, 1980
PERSHING LLC
February 22, 1978 - May 7, 1978
LEHMAN BROTHERS KUHN LOEB INCORPORATED
August 31, 1976 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
August 29, 1973 - July 10, 1976
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
March 29, 1972 - September 15, 1973
LEHMAN BROTHERS INCORPORATED
December 2, 1970 - March 19, 1972
SALOMON BROTHERS 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 41
Date: 4/20/1985
NYSE Allied Member ExaminationSeries 5
Date: 6/15/1982
Interest Rate Options ExaminationSeries 1
Date: 11/19/1970
Registered Representative ExaminationSeries 00
Date: 6/10/1974
General Securities Principal ExaminationCurrent Firm
LAZARD FRERES & CO. LLC
CRD#: 2528 / SEC#: , 8-2595
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 14 |
| Civil Event | 2 |
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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