William B. Gerard
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.
William B Gerard, who also goes by William Birkhead Gerard, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1989. William had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2012 - March 2, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 31, 2012 - March 2, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 27, 2011 - June 6, 2012
PERSHING LLC
May 29, 2007 - May 10, 2011
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - May 10, 2011
CITIGROUP GLOBAL MARKETS INC.
March 29, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
March 29, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
June 3, 2002 - April 13, 2004
CHARLES SCHWAB & CO., INC.
March 15, 2002 - April 13, 2004
CHARLES SCHWAB & CO., INC.
November 28, 2001 - February 22, 2002
ALLSTATE FINANCIAL SERVICES, LLC
April 23, 1997 - May 28, 1997
WELLS FARGO SECURITIES, LLC
March 23, 1994 - May 6, 1997
CHARLES SCHWAB & CO., INC.
October 26, 1990 - October 6, 1993
CHARLES SCHWAB & CO., INC.
May 23, 1989 - November 14, 1989
F.N. WOLF & CO., INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 8
Date: 11/16/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
