Gerard P. Eustace
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.
Gerard Patrick Eustace, who also goes by Jerry Eustace, was a registered financial professional .
Gerard is a previously registered financial professional and started their career in finance in 1992. Gerard had worked at 12 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2017 - September 26, 2017
WELLS FARGO CLEARING SERVICES, LLC
November 9, 2015 - June 23, 2017
MLV & CO. LLC
July 27, 2012 - June 22, 2017
B. RILEY SECURITIES, INC.
July 11, 2011 - November 8, 2011
B. RILEY SECURITIES, INC.
April 19, 2011 - July 8, 2011
NASDAQ EXECUTION SERVICES, LLC
July 31, 2007 - August 6, 2010
B. RILEY SECURITIES, INC.
December 6, 2004 - June 6, 2006
HUDSON SECURITIES,INC.
March 31, 2000 - July 28, 2004
PRUDENTIAL EQUITY GROUP, LLC
March 26, 1999 - March 29, 2000
SOMERSET FINANCIAL GROUP, INC.
November 19, 1997 - April 1, 1999
AUERBACH, POLLAK & RICHARDSON INC.
June 19, 1995 - November 26, 1997
ROTHSCHILD LIEBERMAN LLC
October 5, 1993 - June 1, 1995
NEW JAPAN SECURITIES INTERNATIONAL INC.
October 7, 1992 - September 28, 1993
INVESTORS ASSOCIATES, INC.
July 14, 1992 - September 8, 1992
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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 55
Date: 11/19/1998
Limited Representative-Equity Trader ExamCurrent Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
