Gerald T. Elliot
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 Thomas Elliot, who also goes by Gerry Elliot, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 2001. Gerald had worked at 7 firms and has passed the Series 66, SIE 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
October 30, 2022 - February 14, 2024
PRINCIPAL ADVISED SERVICES
April 2, 2014 - October 30, 2022
PRINCIPAL SECURITIES, INC.
February 27, 2014 - February 14, 2024
PRINCIPAL SECURITIES, INC.
April 26, 2013 - February 4, 2014
WELLS FARGO CLEARING SERVICES, LLC
April 18, 2013 - February 4, 2014
WELLS FARGO CLEARING SERVICES, LLC
October 15, 2007 - July 11, 2011
NORTHERN TRUST SECURITIES, INC.
April 3, 2006 - April 16, 2007
THE HUNTINGTON INVESTMENT COMPANY
July 14, 2003 - April 16, 2007
THE HUNTINGTON INVESTMENT COMPANY
January 14, 2003 - July 28, 2003
UBS FINANCIAL SERVICES INC.
December 17, 2002 - July 28, 2003
UBS FINANCIAL SERVICES INC.
January 5, 2001 - December 20, 2002
KEYBANC CAPITAL MARKETS INC.
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
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
Current Firm
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
