Gerald L. Wohlge
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 Lee Wohlge, who also goes by Gerald Lee Wohlgefahrt, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1993. Gerald had worked at 11 firms and has passed the Series 63, Series 7 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
September 4, 2009 - July 26, 2012
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 4, 2009 - July 26, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 15, 2006 - September 2, 2009
LPL FINANCIAL LLC
June 15, 2006 - September 2, 2009
LPL FINANCIAL LLC
May 4, 2005 - June 23, 2006
NATIONAL PLANNING CORPORATION
April 29, 2005 - June 23, 2006
NATIONAL PLANNING CORPORATION
September 3, 2004 - May 5, 2005
LEGACY ADVISORY SERVICES, INC.
September 3, 2004 - May 5, 2005
LEGACY FINANCIAL SERVICES, INC.
April 5, 2004 - August 17, 2004
IFMG SECURITIES, INC.
November 14, 2003 - August 17, 2004
IFMG SECURITIES, INC.
September 20, 1994 - November 20, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
September 19, 1994 - November 20, 2003
IDS LIFE INSURANCE COMPANY
November 5, 1993 - January 24, 1994
WALFORD & COMPANY, INC.
January 8, 1993 - July 22, 1993
WALL STREET DISCOUNTS, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
