Paul M. Gerra
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.
Paul Martin Gerra, who also goes by Paul M Gerra, Paul Gerra, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1994. Paul had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2017 - March 2, 2020
AVANTAX INVESTMENT SERVICES, INC.
May 14, 2015 - December 31, 2015
MML INVESTORS SERVICES, LLC
October 31, 2012 - November 6, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
August 4, 2011 - January 27, 2012
MORGAN STANLEY
October 5, 2009 - August 16, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
July 10, 2006 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
April 9, 2003 - January 31, 2005
IFMG SECURITIES, INC.
June 12, 2000 - December 21, 2001
MORGAN STANLEY DW INC.
June 23, 1999 - January 24, 2000
SUMMIT FINANCIAL SERVICES GROUP, INC.
September 11, 1996 - January 5, 1999
MORGAN STANLEY DW INC.
June 9, 1994 - March 1, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
AVANTAX INVESTMENT SERVICES, INC.
CRD#: 13686 / SEC#: , 8-29533
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
| Bond | 1 |
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.
