Gerard A. Bergeron
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.
Gerard Arthur Bergeron was a registered financial professional .
Gerard is a previously registered financial professional and started their career in finance in 1985. Gerard had worked at 8 firms and has passed the Series 63, SIE, Series 55, 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
February 1, 2018 - December 3, 2019
JONESTRADING
April 2, 2012 - January 10, 2018
ROBERT W. BAIRD & CO. INCORPORATED
April 2, 2007 - March 29, 2012
KNIGHT CAPITAL AMERICAS, L.P.
April 25, 2005 - March 29, 2007
CRT CAPITAL GROUP LLC
March 23, 2000 - April 29, 2005
UBS SECURITIES LLC
August 6, 1998 - April 11, 2000
ABN AMRO INCORPORATED
March 4, 1994 - August 11, 1998
LAZARD FRERES & CO. LLC
July 23, 1985 - March 8, 1994
MONNESS CRESPI HARDT & CO., INC.
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 55
Date: 10/26/2007
Limited Representative-Equity Trader ExamCurrent Firm
JONESTRADING
CRD#: 6888 / SEC#: , 8-26089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES & ASSOCIATES, INC. | HOLDING COMPANY | |
| BELL, JEREMY DAVID | CCO | 4498676 |
| CHMIELEWSKI, STEVEN ANDREW | DIRECTOR | 2066307 |
| COHEN, SHLOMO | DIRECTOR | 2877188 |
| COOK, BURKE MCCLAIN | CORPORATE SECRETARY / LEGAL COUNSEL | 4863190 |
| HILL, ALAN FINBAR | CEO / DIRECTOR | 5182098 |
| KIRSCH, WILLIAM TANNER | DIRECTOR | 5428522 |
| LEVEEN, JEFFREY EARLE JR | DIRECTOR | 2919172 |
| MICSKY, JEFFREY A | DIRECTOR | 4820920 |
| ONEIL, TIMOTHY DAWSON | EXECUTIVE CHAIRMAN | 2355507 |
| TESORO, ANTHONY JAMES | DIRECTOR | |
| TESORO, PHILLIP JAMES | DIRECTOR | 2009378 |
| WONG, JEFFREY RYAN | FINANCIAL AND OPERATIONS PRINCIPAL | 4428807 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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