Gerald R. Alena

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CRD#: 1843284

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 Raymond Alena JR, who also goes by Gerald Raymond Alena, Gerald R Alena Jr, Gerald Alena, Jerry Raymond Alena Jr., was a registered financial professional .

Gerald is a previously registered financial professional and started their career in finance in 1988. Gerald had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gerald Raymond Alena | Gerald R Alena Jr | Gerald Alena | Jerry Raymond Alena Jr.

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.

CHOOSE HIGH PERFORMANCE, LLC; NOT INVESTMENT RELATED; 22 PORTER HILL ROAD, MIDDLEBURY, CT 06762; CONSULTING; PARTNER SINCE 12/17/2019; 6 HOURS/MONTH - ZERO DURING SECURITIES TRADING HOURS; ORGANIZATIONAL PSYCHOLOGY AND TRAINING.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 24, 2021 - October 21, 2025

DAYBRIGHT ADVISORY SERVICES, INC.

RIA

CRD#: 133795

MIDDLEBURY, CT

Past

January 4, 2019 - December 24, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HARTFORD, CT

Past

December 6, 2018 - December 24, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HARTFORD, CT

Past

August 15, 2011 - September 5, 2018

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

January 1, 2009 - July 20, 2011

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819

SANDY HOOK, CT

Past

June 6, 2000 - January 1, 2009

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

SANDY HOOK, CT

Past

September 10, 1990 - March 20, 1991

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Past

June 11, 1988 - August 10, 1990

PRUCO SECURITIES, LLC.

CRD#: 5685

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".

DAYBRIGHT ADVISORY SERVICES, INC.

DAYBRIGHT ADVISORY SERVICES, INC. | TRPC ADVISORY SERVICES, INC. | TRPC ADVISORY SERVICES | THE RETIREMENT PLAN COMPANY, LLC

CRD#: 133795 / SEC#: 801-93173

RIA

Registered Investment Advisory firm - (4/16/2015 Approved)

Tennessee

Registered Investment Advisory firm - (9/3/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/3/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/27/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/5/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/23/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/5/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DAYBRIGHT ADVISORY SERVICES, INC.

DAYBRIGHT ADVISORY SERVICES, INC. | TRPC ADVISORY SERVICES, INC. | TRPC ADVISORY SERVICES | THE RETIREMENT PLAN COMPANY, LLC

CRD#: 133795 / SEC#: 801-93173

RIA

Registered Investment Advisory firm - (4/16/2015 Approved)

Tennessee

Registered Investment Advisory firm - (9/3/2015 Terminated)

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Contact information

Main Address

9350 South Dixie Highway Suite 1560, Miami, FL 33156

Mailing Address

P.o.box 50, Lakeland, FL 33802

Phone number

(305) 671-2200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DAYBRIGHT ADV PART 2A DISCLOSURE BROCHURE (8/5/2025)

Regulatory assets under management

Total Number of Accounts	2,170
AUM (Assets Under Management)	$ 4,212,361,531

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/09/2025	Cover Page	Report
01/22/2024	Cover Page	Report
12/22/2022	Cover Page	Report

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.

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Firm Stability Insights

Gerald R. Alena

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

JOHN HANCOCK DISTRIBUTORS LLC

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

DAYBRIGHT ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/3/2019

Series 63

Date: 6/27/2000

SIE

Date: 9/5/2018

Series 7

Date: 7/23/2013

Series 6

Date: 6/5/2000

Current Firm

DAYBRIGHT ADVISORY SERVICES, INC.

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DAYBRIGHT ADVISORY SERVICES, INC.

TRUST BUT VERIFY

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