Gerald E. Feldman
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 Edward Feldman, who also goes by Jerry Feldman, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1973. Gerald had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2022 - October 6, 2023
KESTRA ADVISORY SERVICES, LLC
November 1, 2021 - October 3, 2022
NEWEDGE ADVISORS
October 25, 2010 - November 1, 2021
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
April 22, 1991 - August 22, 2005
RESOURCE PLANNING, INC.
April 16, 1987 - August 5, 2020
NEWEDGE SECURITIES, LLC
June 23, 1975 - May 2, 1987
RESOURCE INVESTMENTS, INC.
October 9, 1973 - May 23, 1975
BABB INVESTMENTS, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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 1
Date: 10/1/1973
Registered Representative ExaminationSeries 00
Date: 5/5/1975
General Securities Principal ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
