Jerry L. Delich
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 Lee Delich was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1970. Jerry had worked at 7 firms and has passed the Series 65, Series 63, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 1993 - April 16, 1993
LEHMAN BROTHERS INC.
May 26, 1989 - August 23, 1991
PRUDENTIAL EQUITY GROUP, LLC
August 13, 1981 - June 29, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
January 31, 1980 - August 25, 1981
UBS FINANCIAL SERVICES INC.
June 28, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
December 6, 1976 - August 13, 1978
WHITE, WELD & CO. INCORPORATED
April 13, 1970 - December 4, 1976
DEAN WITTER & CO. INCORPORATED
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: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 3/26/1970
Registered Representative ExaminationSeries 8
Date: 2/3/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
