Michael W. Gerding
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.
Michael Wayne Gerding, who also goes by Micheal Gerding, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 5 firms and has passed the Series 2 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2006 - April 16, 2021
RIO ASSET MANAGEMENT LLC
June 27, 2002 - January 6, 2006
WASATCH ADVISORS LP
March 20, 2000 - April 16, 2002
ALPS DISTRIBUTORS, INC.
April 1, 1998 - July 26, 1999
FOUNDERS ASSET MANAGEMENT LLC
January 28, 1997 - April 1, 1998
FOUNDERS ASSET MANAGEMENT, 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 2
Date: 11/6/1987
Non-Member General Securities ExaminationCurrent Firm
RIO ASSET MANAGEMENT LLC
CRD#: 140132 / SEC#:
Contact information
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.
