Catherine A. Gerst
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.
Catherine Anne Gerst, who also goes by Catherine A Gibbons, Catherine Anne Gibbons, Catherine Anne Miller, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1987. Catherine had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 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
January 22, 2025 - February 13, 2026
LIDO
December 18, 2017 - January 23, 2025
AVITAS WEALTH MANAGEMENT, LLC
December 12, 2017 - December 31, 2017
PKS ADVISORY SERVICES, LLC
February 20, 2009 - December 11, 2017
UBS FINANCIAL SERVICES INC.
February 20, 2009 - December 11, 2017
UBS FINANCIAL SERVICES INC.
June 30, 2000 - February 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 27, 1998 - February 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 1989 - April 6, 1998
WELLS FARGO SECURITIES INC.
November 25, 1987 - March 11, 1989
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
LIDO
CRD#: 269866 / SEC#: 801-100433
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
LIDO
CRD#: 269866 / SEC#: 801-100433
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 27,931 |
| AUM (Assets Under Management) | $ 29,080,337,946 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 11/26/2024 | ||
| 01/26/2024 | ||
| 02/28/2023 |
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.
