Frank J. Gerage
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.
Frank John Gerage was a registered financial advisor .
Frank is a previously registered financial advisor and started their career in finance in 1992. Frank had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3, Series 30, Series 53, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2014 - May 2, 2016
DAVID LERNER ASSOCIATES, INC.
February 12, 2013 - June 19, 2013
WELLS FARGO CLEARING SERVICES, LLC
December 17, 2012 - June 19, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 17, 2000 - December 31, 2002
ROSENTHAL COLLINS SECURITIES, L.L.C
May 1, 1997 - July 7, 2000
ALEX MOORE & COMPANY, INC.
August 1, 1996 - March 14, 1997
MEYERS POLLOCK ROBBINS, INC.
June 11, 1996 - July 16, 1996
SHAMUS GROUP, INC.
August 14, 1995 - June 3, 1996
TOLUCA PACIFIC SECURITIES CORP.
July 19, 1995 - October 30, 1995
MARSH, BLOCK & CO. INC.
April 5, 1995 - June 28, 1995
FIRST CAMBRIDGE SECURITIES CORPORATION
January 10, 1995 - March 24, 1995
DICKINSON & CO.
August 25, 1994 - April 25, 1995
ROBERT TODD FINANCIAL CORP.
April 20, 1994 - August 27, 1994
FIRST CAMBRIDGE SECURITIES CORPORATION
December 7, 1993 - May 13, 1994
JOSEPHTHAL & CO., INC.
April 8, 1993 - December 7, 1993
DUKE & CO., INC.
February 8, 1993 - April 26, 1993
LADENBURG THALMANN & CO. INC.
November 16, 1992 - February 11, 1993
LEHMAN BROTHERS INC.
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
Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
