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JG

Julie A. Geraci

THORNBURG INVESTMENT MANAGEMENT
Santa Fe, NM 87506
Some features on this profile are disabled
CRD#: 1973526
JG

Professional summary

Julie Ann Geraci, who also goes by Julle Ann Geraci, is a registered financial advisor currently at THORNBURG INVESTMENT MANAGEMENT INC located in Santa Fe, New Mexico and THORNBURG SECURITIES LLC located in Santa Fe, New Mexico.

Julie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Julie has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Julle Ann Geraci

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Julie Ann Geraci's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

April 11, 2011 - Present

THORNBURG INVESTMENT MANAGEMENT INC

Office #1: 2300 North Ridgetop Road, Santa Fe, NM 87506
RIA
CRD#: 106357
Santa Fe, NM
Current

November 6, 2001 - Present

THORNBURG SECURITIES LLC

Office #1: 2300 North Ridgetop Road, Santa Fe, NM 87506
BD
CRD#: 14857
Santa Fe, NM
Past

February 3, 1998 - November 9, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 25, 1997 - January 9, 1998

WINGSPAN INVESTMENT SERVICES

BD
CRD#: 17516
CHICAGO, IL
Past

May 5, 1995 - September 5, 1996

ROTHSCHILD INVESTMENT LLC

BD
CRD#: 728
CHICAGO, IL
Past

April 16, 1993 - April 17, 1995

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

December 21, 1992 - January 18, 1993

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

December 13, 1991 - May 15, 1992

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

June 25, 1991 - October 11, 1991

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

October 25, 1989 - April 12, 1991

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY

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".
TI
THORNBURG INVESTMENT MANAGEMENT INC
THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357 / SEC#: 801-17853

RIA
Registered Investment Advisory firm - (10/15/1982 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Mexico
(11/13/2001)
IAR
New Mexico
(4/11/2011)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/23/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/29/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/30/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TI
THORNBURG INVESTMENT MANAGEMENT INC
THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357 / SEC#: 801-17853

RIA
Registered Investment Advisory firm - (10/15/1982 Approved)
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Contact information

Main Address
2300 North Ridgetop Road, Santa Fe, NM 87506
Mailing Address
Phone number
(505) 467-7283
Established
Firm type
Fiscal year end
# of Employees
219

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE MARCH 31, 2022 (3/28/2025)

Regulatory assets under management

Total Number of Accounts705
AUM (Assets Under Management)$ 45,288,445,586

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.

Company Information

THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357Santa Fe, NM 87506

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