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GG

Gerard G. Guertin

ROFFMAN MILLER ASSOCIATES
Philadelphia, PA 19103-3272
Some features on this profile are disabled
CRD#: 2438772
GG

Professional summary

Gerard George Guertin, ChFC®, who also goes by Gerard Georges Guertin, Gerry Guertin, is a registered financial advisor currently at ROFFMAN MILLER ASSOCIATES INC located in Philadelphia, Pennsylvania.

Gerard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Gerard has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Gerard Georges Guertin | Gerry Guertin

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gerard George Guertin'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®
ChFC®

Chartered Financial Consultant

Experience

Current

September 2, 2016 - Present

ROFFMAN MILLER ASSOCIATES INC

Office #1: 1835 Market Street Suite 1600, Philadelphia, PA 19103-3272
RIA
CRD#: 106019
Philadelphia, PA
Past

December 21, 2012 - July 8, 2016

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
YARDLEY, PA
Past

December 21, 2012 - July 8, 2016

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
YARDLEY, PA
Past

August 5, 2010 - December 17, 2012

LPL FINANCIAL LLC

RIA
CRD#: 6413
NORTH WALES, PA
Past

August 5, 2010 - December 17, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
NORTH WALES, PA
Past

September 29, 2008 - July 26, 2010

CITIZENS SECURITIES, INC.

RIA
CRD#: 39550
WYNNEWOOD, PA
Past

September 29, 2008 - July 26, 2010

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
WYNNEWOOD, PA
Past

December 13, 2004 - October 2, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
PHILADELPHIA, PA
Past

April 12, 2004 - October 2, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
PHILADELPHIA, PA
Past

April 18, 2001 - March 31, 2004

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

October 11, 2000 - March 16, 2001

REGIONAL BROKERS, INC.

BD
CRD#: 30392
JAMISON, PA
Past

February 23, 1999 - September 26, 2000

NF CLEARING, INC.

BD
CRD#: 14285
PHILADELPHIA, PA

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".
RM
ROFFMAN MILLER ASSOCIATES INC
ROFFMAN MILLER ASSOCIATES INC | ROFFMAN MILLLER ASSOCIATES INC

CRD#: 106019 / SEC#: 801-38491

RIA
Registered Investment Advisory firm - (3/22/1991 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.

Highlighted states indicate IAR registrations

IAR
Pennsylvania
(9/2/2016)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/2/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/22/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/8/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/22/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/5/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/10/1999
Registered Options Principal Examination

Current Firm

RM
ROFFMAN MILLER ASSOCIATES INC
ROFFMAN MILLER ASSOCIATES INC | ROFFMAN MILLLER ASSOCIATES INC

CRD#: 106019 / SEC#: 801-38491

RIA
Registered Investment Advisory firm - (3/22/1991 Approved)
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Contact information

Main Address
1835 Market Street Suite 500, Philadelphia, PA 19103
Mailing Address
Phone number
(215) 981-1030
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (19 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ROFFMAN MILLER ASSOCIATES, INC. PART 2 (5/12/2025)

Regulatory assets under management

Total Number of Accounts1,563
AUM (Assets Under Management)$ 2,895,159,684

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.

Company Information

ROFFMAN MILLER ASSOCIATES INC

CRD#: 106019Philadelphia, PA 19103-3272

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