Marion T. Gerse
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.
Marion T Gerse, who also goes by Marion T. Alvarez, Marion Takemura Alvarez, Marion Takemura Gerse, Marion A Kashan, was a registered financial professional .
Marion is a previously registered financial professional and started their career in finance in 2000. Marion had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 53 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
November 1, 2016 - September 15, 2017
D.A. DAVIDSON & CO.
November 1, 2016 - September 15, 2017
D.A. DAVIDSON & CO.
November 14, 2014 - October 17, 2016
U.S. BANCORP ADVISORS, LLC
November 14, 2014 - October 17, 2016
U.S. BANCORP ADVISORS, LLC
April 5, 2011 - November 3, 2014
FIRST MIDWEST SECURITIES, INC.
April 5, 2011 - November 3, 2014
FIRST MIDWEST SECURITIES, INC.
August 31, 2010 - March 31, 2011
WESTPARK CAPITAL, INC.
August 31, 2010 - March 31, 2011
WESTPARK CAPITAL, INC.
October 6, 2008 - April 29, 2010
AFA ADVISOR SERVICES LLC
October 6, 2008 - April 29, 2010
AFA FINANCIAL GROUP, LLC
January 10, 2007 - June 3, 2008
CROWELL, WEEDON & CO.
November 16, 2006 - June 3, 2008
CROWELL, WEEDON & CO.
July 20, 2005 - October 13, 2005
SUMMIT FINANCIAL GROUP INC
July 15, 2005 - October 13, 2005
SUMMIT BROKERAGE SERVICES, INC.
March 28, 2005 - June 6, 2005
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 13, 2003 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 13, 2003 - June 6, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 26, 2002 - April 11, 2003
FDX ADVISORS, INC.
February 27, 2001 - April 11, 2003
LONDON PACIFIC SECURITIES, INC.
April 25, 2000 - November 28, 2000
BRECEK & YOUNG ADVISORS, INC.
March 2, 2000 - April 14, 2000
SECURITIES AMERICA, INC.
Primary Firm SEC Registration
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
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
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D.A. DAVIDSON COMPANIES | HOLDING COMPANY | |
| BEAUPREZ, JACQUELINE ANN | SVP, GENERAL COUNSEL | 4075012 |
| CRONK, JAMES LEE | PRINCIPAL OPERATIONS OFFICER | 1104799 |
| DISPENSE, MARC RUSSELL | PRESIDENT, FIXED INCOME CAPITAL MARKETS | 4655410 |
| MARTINEZ, LAWRENCE TODD | CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR | 4596308 |
| MCCUBBIN, JARED C | SVP, CHIEF COMPLIANCE OFFICER | 4969077 |
| MCKINNEY, RORY ADAM | PRESIDENT, EQUITY CAPITAL MARKETS | 4735577 |
| PURPURA, MICHAEL JOSEPH | PRESIDENT, WEALTH MANAGEMENT, DIRECTOR | 2095576 |
| ZADICK, JUSTINE MILNE | PRINCIPAL FINANCIAL OFFICER | 6452559 |
Regulatory assets under management
| Total Number of Accounts | 86,818 |
| AUM (Assets Under Management) | $ 36,175,333,459 |
Disclosures
| Regulatory Event | 41 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 09/27/2024 | ||
| 11/13/2023 | ||
| 12/22/2022 |
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.
