Gerald R. Dufault
THE PATRIOT FINANCIAL GROUP
Worcester, MA 01608
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CRD#: 1302768
Professional summary
Gerald Raphael Dufault, CFP®, who also goes by Gerry Dufault, is a registered financial advisor currently at THE PATRIOT FINANCIAL GROUP, LLC located in Worcester, Massachusetts and CETERA FINANCIAL SPECIALISTS LLC located in Worcester, Massachusetts.
Gerald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Gerald has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
What are your service offerings?
Retirement Income Management
Estate Planning
Investment Planning
Insurance Planning
Comprehensive Financial Planni...
Retirement Planning
Are you a "fiduciary"?
Yes
Aliases
Gerry Dufault
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) PATRIOT FINANCIAL GROUP; WESTBOROUGH, MA; INVESTMENT RELATED; INVESTMENT ADVISORY SERVICES; SINCE 04/2008; 160 HOURS/MO 2) ROLLOVER ADVISORY SERVICES; WESTBOROUGH MA; INVESTMENT RELATED; DBA FOR INVESTMENT SERVICES; FINANCIAL PROFESSIONAL; SINCE 04/2008; 160 HRS/MO 3) NAME OF OTHER BUSINESS: ROLLOVER ADVISORY SERVICES, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 10/2024, POSITION/TITLE/RELATIONSHIP: OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: FOR TAX FILING PURPOSES;
CRS (Client Relationship Summary) - RIA
Click below to view Gerald Raphael Dufault'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®
CFP®
Start date: 2007
Experience
Current
October 3, 2014 - Present
THE PATRIOT FINANCIAL GROUP, LLC
Office #1: 33 Waldo Street Ste. 3m, Worcester, MA 01608RIA
CRD#: 172470
Worcester, MA
Current
December 16, 2022 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 33 Waldo St Ste 3m, Worcester, MA 01608BD
CRD#: 10358
Worcester, MA
Past
July 9, 2018 - December 15, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
WESTBOROUGH, MA
Past
February 27, 2009 - October 28, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
SHREWSBURY, MA
Past
February 27, 2009 - July 5, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
SHREWSBURY, MA
Past
April 2, 2008 - March 2, 2009
OSAIC FS, INC.
RIA
CRD#: 3870
SHREWSBURY, MA
Past
March 31, 2008 - March 2, 2009
OSAIC FS, INC.
BD
CRD#: 3870
SHREWSBURY, MA
Past
October 31, 2007 - December 11, 2007
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
WESTBOROUGH, MA
Past
June 13, 2005 - October 11, 2007
IFMG SECURITIES, INC.
BD
CRD#: 14416
WESTBORO, MA
Past
October 20, 2004 - March 1, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
September 18, 2003 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
February 16, 2001 - June 6, 2003
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
October 8, 1984 - December 31, 1999
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TP
THE PATRIOT FINANCIAL GROUP, LLC
603 FINANCIAL ADVISORS, LLC | YAI AND CO. FINANCIAL SERVICES | WAYPOINT WEALTH MANAGEMENT | VISPER WEALTH MANAGEMENT, LLC | UNIFIED LEGACY ADVISORS | TWIN CITY FINANCIAL GROUP | TRIPENSION ASSOCIATES | THE PRIVATE WEALTH MANAGEMENT GROUP | THE PATRIOT GROUP INSURANCE AGENCY, LLC | THE PATRIOT FINANCIAL GROUP, LLC | THE PATRIOT FINANCIAL GROUP OF TEXAS | THE PATRIOT FINANCIAL GROUP INSURANCE AGENCY, LLC | THE PATRIOT FINANCIAL GROUP | TAMAGNI ADVISORY GROUP | SUMMIT STAR ADVISORY | STERLING ENDEAVOR WEALTH MANAGEMENT | SPECIAL NEEDS FINANCIAL PLAN, LLC | SCHWARTZ FINANCIAL SERVICES, INC. | RULE FINANCIAL SERVICES | RSD FINANCIAL | ROLLOVER ADVISORY SERVICES | ROLLOVER ADVISORS MA | RIVERSIDE WEALTH MANAGEMENT | RIVERSIDE RETIREMENT ADVISORS, LLC | RIVERSIDE INVESTMENT SERVICES | RETIREMENT INCOME PLANNING ASSOCIATES | RANZIE, ROSEMARIE | PROVO WEALTH MANAGEMENT GROUP | PROVO FINANCIAL SERVICES | PETERKIN ADVISORY SERVICES | PATRIOT RETIREMENT PLAN PARTNERS | PATRIOT PARTNERS SERVICES | NEW ENGLAND RETIREMENT SOLUTIONS, LLC | MERRIMACK VALLEY WEALTH MANAGEMENT | MENT FINANCIAL GROUP | MCLAUGHLIN FINANCIAL CONSULTING | MCGRATH ADVISORS INC | LIGHT WEALTH MANAGEMENT | LEGACY WEALTH MANAGEMENT | JPS FINANCIAL | JOFFREY SMITH FINANCIAL GROUP | IVY WEALTH MANAGEMENT, INC | IVY WEALTH ADVISORS | IVY RETIREMENT SOLUTIONS | IVY FINANCIAL FITNESS | INDUS FINANCIAL | HAYDEN WEALTH MANAGEMENT | GREYHOUND FINANCIAL | GOOD HABITS FINANCIAL | GENERATIONS ADVISORY GROUP | GALLI FINANCIAL GROUP | FLEX FINANCIAL PLANNING | ECHELON PLANNING GROUP | ECHELON FINANCIAL SERVICES | DKH INVESTMENT ADVISORS | DF MURPHY LIFE INSURANCE AGENCY | CREATIVE FINANCIAL SERVICES | CORNER OFFICE FINANCIAL LLC | CORNER OFFICE ADVISORY GROUP | COMPREHENSIVE WEALTH PLANNERS AT DEAN BANK | COMPREHENSIVE WEALTH MANAGEMENT | CLARITY PRIVATE WEALTH | CHILDS FINANCIAL SERVICES | CHANCELLOR WEALTH ADVISORS | CHAMPION FINANCIAL GROUP | CASTLE HILL ADVISORY SERVICES | BW FINANCIAL SERVICES | BROWN & ASSOCIATES WEALTH MANAGEMENT | BOSTON INDEPENDENCE GROUP | BLACK DIAMOND ADVISORY SERVICES LLC | BCA ADVISORY GROUP | BANK GLOUCESTER INVESTMENT ADVISORY SERVICES | BANK GLOUCESTER FINANCIAL SERVICES | B&D ADVISORS | ATLANTIC WEALTH MANAGEMENT | ASCUTNEY FINANCIAL GROUP | ALPHA PARTNERS ADVISORY | ALDER TREE FINANCIAL
CRD#: 172470 / SEC#: 801-80245
RIA
Registered Investment Advisory firm - (9/9/2014 Approved)Rhode Island
Registered Investment Advisory firm - (7/23/2015 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(12/16/2022)
IAR
Massachusetts(10/6/2014)
RR
Massachusetts(12/16/2022)
RR
New Hampshire(12/21/2022)
RR
Rhode Island(12/16/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TP
THE PATRIOT FINANCIAL GROUP, LLC
603 FINANCIAL ADVISORS, LLC | YAI AND CO. FINANCIAL SERVICES | WAYPOINT WEALTH MANAGEMENT | VISPER WEALTH MANAGEMENT, LLC | UNIFIED LEGACY ADVISORS | TWIN CITY FINANCIAL GROUP | TRIPENSION ASSOCIATES | THE PRIVATE WEALTH MANAGEMENT GROUP | THE PATRIOT GROUP INSURANCE AGENCY, LLC | THE PATRIOT FINANCIAL GROUP, LLC | THE PATRIOT FINANCIAL GROUP OF TEXAS | THE PATRIOT FINANCIAL GROUP INSURANCE AGENCY, LLC | THE PATRIOT FINANCIAL GROUP | TAMAGNI ADVISORY GROUP | SUMMIT STAR ADVISORY | STERLING ENDEAVOR WEALTH MANAGEMENT | SPECIAL NEEDS FINANCIAL PLAN, LLC | SCHWARTZ FINANCIAL SERVICES, INC. | RULE FINANCIAL SERVICES | RSD FINANCIAL | ROLLOVER ADVISORY SERVICES | ROLLOVER ADVISORS MA | RIVERSIDE WEALTH MANAGEMENT | RIVERSIDE RETIREMENT ADVISORS, LLC | RIVERSIDE INVESTMENT SERVICES | RETIREMENT INCOME PLANNING ASSOCIATES | RANZIE, ROSEMARIE | PROVO WEALTH MANAGEMENT GROUP | PROVO FINANCIAL SERVICES | PETERKIN ADVISORY SERVICES | PATRIOT RETIREMENT PLAN PARTNERS | PATRIOT PARTNERS SERVICES | NEW ENGLAND RETIREMENT SOLUTIONS, LLC | MERRIMACK VALLEY WEALTH MANAGEMENT | MENT FINANCIAL GROUP | MCLAUGHLIN FINANCIAL CONSULTING | MCGRATH ADVISORS INC | LIGHT WEALTH MANAGEMENT | LEGACY WEALTH MANAGEMENT | JPS FINANCIAL | JOFFREY SMITH FINANCIAL GROUP | IVY WEALTH MANAGEMENT, INC | IVY WEALTH ADVISORS | IVY RETIREMENT SOLUTIONS | IVY FINANCIAL FITNESS | INDUS FINANCIAL | HAYDEN WEALTH MANAGEMENT | GREYHOUND FINANCIAL | GOOD HABITS FINANCIAL | GENERATIONS ADVISORY GROUP | GALLI FINANCIAL GROUP | FLEX FINANCIAL PLANNING | ECHELON PLANNING GROUP | ECHELON FINANCIAL SERVICES | DKH INVESTMENT ADVISORS | DF MURPHY LIFE INSURANCE AGENCY | CREATIVE FINANCIAL SERVICES | CORNER OFFICE FINANCIAL LLC | CORNER OFFICE ADVISORY GROUP | COMPREHENSIVE WEALTH PLANNERS AT DEAN BANK | COMPREHENSIVE WEALTH MANAGEMENT | CLARITY PRIVATE WEALTH | CHILDS FINANCIAL SERVICES | CHANCELLOR WEALTH ADVISORS | CHAMPION FINANCIAL GROUP | CASTLE HILL ADVISORY SERVICES | BW FINANCIAL SERVICES | BROWN & ASSOCIATES WEALTH MANAGEMENT | BOSTON INDEPENDENCE GROUP | BLACK DIAMOND ADVISORY SERVICES LLC | BCA ADVISORY GROUP | BANK GLOUCESTER INVESTMENT ADVISORY SERVICES | BANK GLOUCESTER FINANCIAL SERVICES | B&D ADVISORS | ATLANTIC WEALTH MANAGEMENT | ASCUTNEY FINANCIAL GROUP | ALPHA PARTNERS ADVISORY | ALDER TREE FINANCIAL
CRD#: 172470 / SEC#: 801-80245
RIA
Registered Investment Advisory firm - (9/9/2014 Approved)Rhode Island
Registered Investment Advisory firm - (7/23/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
55 West Street Suite 201, Walpole, MA 02081
Mailing Address
Phone number
(508) 251-6100
Established
Firm type
Fiscal year end
# of Employees
62
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,135 |
| AUM (Assets Under Management) | $ 2,405,488,420 |
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.
Company Information
THE PATRIOT FINANCIAL GROUP, LLC
CRD#: 172470Worcester, MA 01608TRUST BUT VERIFY
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Contact information
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