Gerald A. Kalish
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.
Gerald Augustus Kalish was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1981. Gerald had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2018 - August 10, 2023
LPL FINANCIAL LLC
November 9, 2018 - August 10, 2023
LPL FINANCIAL LLC
October 3, 2016 - November 9, 2018
CETERA ADVISORS LLC
October 3, 2016 - November 9, 2018
CETERA ADVISORS LLC
November 28, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
May 3, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
April 12, 2005 - December 6, 2005
RBC CAPITAL MARKETS, LLC
March 9, 2002 - December 6, 2005
RBC CAPITAL MARKETS, LLC
June 4, 2001 - March 9, 2002
TUCKER ANTHONY INCORPORATED
January 10, 2001 - March 2, 2001
LPL FINANCIAL LLC
November 12, 1999 - September 13, 2000
MOORS & CABOT, INC.
November 1, 1994 - November 23, 1999
BANKBOSTON INVESTOR SERVICES, INC.
May 24, 1993 - November 8, 1994
SEI INVESTMENTS DISTRIBUTION CO.
October 24, 1986 - April 23, 1993
NYLIFE SECURITIES LLC
September 24, 1981 - September 19, 1986
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
