Henry J. Ehrlich
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.
Henry Jerome Ehrlich was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1981. Henry had worked at 9 firms and has passed the Series 63, Series 3, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2001 - October 14, 2002
USALLIANZ SECURITIES, INC.
January 14, 2000 - October 6, 2000
NATIONAL PLANNING CORPORATION
August 11, 1994 - May 11, 1998
MARKETING ONE SECURITIES, INC.
May 17, 1991 - August 25, 1994
AMERICAN GENERAL SECURITIES INCORPORATED
June 11, 1990 - May 22, 1991
CAPITAL BROKERAGE CORPORATION
April 11, 1988 - June 19, 1990
LEHMAN BROTHERS INC.
August 26, 1982 - April 11, 1988
E. F. HUTTON & COMPANY INC
October 6, 1981 - September 2, 1982
CITIGROUP GLOBAL MARKETS INC.
January 19, 1981 - June 8, 1982
M. S. WIEN & 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 5
Date: 10/12/1981
Interest Rate Options ExaminationCurrent Firm
USALLIANZ SECURITIES, INC.
CRD#: 40875 / SEC#: , 8-49216
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | SHAREHOLDER | |
| HOWELL, RUTH ANNETTE | CHIEF COMPLIANCE OFFICER, COMPLIANCE REGISTERED OPTIONS PRINCIPAL | |
| INGERSOLL, THADDEUS WINTHROP III | COMPLIANCE MANAGER, SENIOR REGISTERED OPTIONS PRINCIPAL | 2616975 |
| JORGENSEN, MICHAEL JAMES | PRESIDENT | 2676329 |
| REITAN, EMILY SUZANNE | CHIEF FINANCIAL OFFICER & TREASURER | 5209812 |
| VITIELLO, VINCENT GERARD | CHAIRMAN OF THE BOARD | 1059845 |
Disclosures
| Regulatory Event | 3 |
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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