Gerald Gaeta
Professional summary
Gerald Gaeta, who also goes by Gerry Gaeta, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in Dallas, Texas and CNR SECURITIES, LLC located in New York, New York.
Gerald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Gerald has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Gerald Gaeta's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 15, 2020 - Present
CITY NATIONAL ROCHDALE
October 15, 2020 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022March 27, 2019 - September 8, 2020
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
September 12, 2018 - September 8, 2020
FIRST REPUBLIC SECURITIES COMPANY, LLC
October 14, 2002 - September 11, 2018
NYLIFE SECURITIES LLC
August 24, 2001 - March 26, 2002
ALFS, INC.
January 1, 1998 - June 19, 2001
NYLIFE SECURITIES LLC
July 20, 1995 - February 9, 1996
ESSEX NATIONAL SECURITIES, LLC
October 19, 1992 - April 28, 1995
PRUDENTIAL EQUITY GROUP, LLC
August 22, 1990 - April 20, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 22, 1990 - April 20, 1992
PRUCO SECURITIES, LLC.
September 7, 1989 - July 23, 1990
METROPOLITAN LIFE INSURANCE COMPANY
September 7, 1989 - July 23, 1990
MSI FINANCIAL SERVICES, INC.
February 10, 1987 - June 13, 1989
H. L. MICHAELS SECURITIES, INC.
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/5/2021)
(4/17/2025)
(10/15/2020)
(10/15/2020)
Exams
FINRA
Current Firm
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
