Brian T. Ginty

RONALD GELOK & ASSOCIATES

Naples, FL 34108

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CRD#: 1024260

Professional summary

Brian Thomas Ginty is a registered financial advisor currently at RONALD GELOK & ASSOCIATES, LLC located in Naples, Florida.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Brian has worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 6TO, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Ronald Gelok and Associates LLC; Investment-related; 2001 US Highway 46E, Parsippany, 7054 NJ; Financial Advisor; Wealth management, investment planning; Dec 03,2018; 100 hours; 3 hours during trading hours; Wealth management, investment planning; 2) Brian Ginty; Non Investment-related; 6 Elco Ct, Bayonne, 7002, NJ; Life insurance and non-variable annuities; agent; Jun 28,1985; 100 hours; 3 hours during trading hours; Sales of various lines of insurance through various insurance carriers

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Thomas Ginty's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 15, 2018 - Present

RONALD GELOK & ASSOCIATES, LLC

Office #1: 999 Vanderbilt Beach Road Suite 200, Naples, FL 34108

RIA

CRD#: 290950

Naples, FL

Past

July 10, 2023 - July 16, 2025

AAG CAPITAL, INC

CRD#: 188

Naples, FL

Past

August 16, 2017 - December 12, 2017

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

BRIDGEWATER, NJ

Past

July 28, 2017 - December 12, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

BRIDGEWATER, NJ

Past

January 5, 2017 - July 3, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

FLORHAM PARK, NJ

Past

January 5, 2017 - July 3, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HOBOKEN, NJ

Past

January 24, 2011 - December 23, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

BAYONNE, NJ

Past

January 7, 2011 - December 23, 2016

LPL FINANCIAL LLC

CRD#: 6413

BAYONNE, NJ

Past

October 15, 2004 - February 27, 2008

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

ISELIN, NJ

Past

May 7, 2003 - October 8, 2004

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

December 18, 2002 - May 8, 2003

AON SECURITIES LLC

CRD#: 4138

CHICAGO, IL

Past

October 23, 2002 - November 1, 2002

NEW CENTURY FINANCIAL GROUP, LLC

RIA

CRD#: 104553

PRINCETON, NJ

Past

October 4, 2001 - October 11, 2002

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

May 19, 1997 - October 5, 2001

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

September 6, 1984 - May 25, 1988

PINEBRIDGE SECURITIES LLC

CRD#: 5967

Past

January 20, 1982 - January 4, 1983

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(2/15/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/13/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/21/2011

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 5/11/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6TO

Date: 1/9/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 3/16/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/6/2011

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 11/18/2004

Investment Company Products/Variable Contracts Principal Examination

Current Firm

RONALD GELOK & ASSOCIATES, LLC

CRD#: 290950 / SEC#:

Florida

Registered Investment Advisory firm - (1/19/2018 Approved)

New Jersey

Registered Investment Advisory firm - (11/17/2017 Approved)

Texas

Registered Investment Advisory firm - (6/23/2023 Conditional Restricted)

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Contact information

Main Address

999 Vanderbilt Beach Road Suite 200, Naples, FL 34108

Mailing Address

Phone number

(800) 467-8152

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	291
AUM (Assets Under Management)	$ 66,194,104

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Brian T. Ginty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Thomas Ginty's CRS (Customer Relationship Summary).

Certified licenses

Experience

AAG CAPITAL, INC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

MML INVESTORS SERVICES, LLC

AON SECURITIES LLC

NEW CENTURY FINANCIAL GROUP, LLC

OSAIC WEALTH, INC.

FSC SECURITIES CORPORATION

PINEBRIDGE SECURITIES LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

State Registrations and Notice Filings

Exams

Series 63

Date: 3/13/2023

Series 65

Date: 1/21/2011

SIE

Date: 5/11/2023

Series 6TO

Date: 1/9/2023

Series 7

Date: 3/16/2015

Series 6

Date: 1/6/2011

Series 26

Date: 11/18/2004

Current Firm

RONALD GELOK & ASSOCIATES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RONALD GELOK & ASSOCIATES, LLC

TRUST BUT VERIFY

Contact information

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