James A. Geraci

ALLSTATE FINANCIAL ADVISORS

Middle Village, NY 11379-2392

Some features on this profile are disabled

CRD#: 2259774

Professional summary

James Anthony Geraci is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Middle Village, New York and ALLSTATE FINANCIAL SERVICES, LLC located in Middle Village, New York.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. James has worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

WILTON RE POSITION: Agent NATURE: Servicing Allstate Life business for Wilton Re. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2025 ADDRESS: 6477 Dry Harbor Road, Middle Village NY 11379, United States DESCRIPTION: Servicing Allstate Life business for Wilton Re.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Anthony 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

September 23, 2021 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 6477 Dry Harbor Rd, Middle Village, NY 11379-2392

RIA

CRD#: 109524

Middle Village, NY

Current

May 7, 2019 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 6477 Dry Harbor Rd, Middle Village, NY 11379-2392

CRD#: 18272

Middle Village, NY

Past

March 25, 2017 - April 5, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

BROOKLYN, NY

Past

December 2, 2010 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

BROOKLYN, NY

Past

May 27, 2009 - December 9, 2010

QUESTAR CAPITAL CORPORATION

CRD#: 43100

ROCKAWAY PARK, NY

Past

August 7, 2007 - July 7, 2008

BROOKVILLE CAPITAL PARTNERS

CRD#: 102380

MELVILLE, NY

Past

April 5, 2005 - October 6, 2005

LONG ISLAND FINANCIAL GROUP, INC.

CRD#: 31148

ROSLYN, NY

Past

April 8, 2002 - December 4, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

September 13, 2000 - March 14, 2002

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

September 24, 1998 - September 12, 2000

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

September 24, 1998 - September 12, 2000

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

March 25, 1997 - February 3, 1998

LADENBURG CAPITAL MANAGEMENT INC.

CRD#: 14623

BETHPAGE, NY

Past

July 28, 1994 - April 17, 1997

A.S. GOLDMEN & CO., INC.

CRD#: 23180

RED BANK, NJ

Past

May 3, 1994 - August 1, 1994

JOSEPH STEVENS & CO., INC.

CRD#: 35459

BROOKLYN, NY

Past

August 17, 1992 - May 5, 1994

A.S. GOLDMEN & CO., INC.

CRD#: 23180

RED BANK, NJ

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".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 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.

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

New Jersey
(10/17/2019)

New York
(5/8/2019)

IAR

New York
(9/23/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/24/2007

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/5/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/13/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/14/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/20/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James A. Geraci

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Anthony Geraci's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

QUESTAR CAPITAL CORPORATION

BROOKVILLE CAPITAL PARTNERS

LONG ISLAND FINANCIAL GROUP, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

CITICORP INVESTMENT SERVICES

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

LADENBURG CAPITAL MANAGEMENT INC.

A.S. GOLDMEN & CO., INC.

JOSEPH STEVENS & CO., INC.

A.S. GOLDMEN & CO., INC.

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/24/2007

Series 65

Date: 5/5/2000

Series 63

Date: 10/13/1992

SIE

Date: 10/1/2018

Series 7

Date: 8/14/1992

Series 24

Date: 9/20/2007

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors