RG
Ross M. Gerber
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
SANTA MONICA, CA 90405
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CRD#: 2502747
RG
Professional summary
Ross Matthew Gerber is a registered financial advisor currently at GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT located in Santa Monica, California.
Ross is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Ross has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. Gerber Kawasaki Insurance Services, Santa Monica, CA - Sales of non-variable insurance; spends 30% of his time devoted to this business. 2. Danger Band Music - Not Investment Related - Other-Musician - Started 04/17/2017; Spends 5% of his time devoted to this business/0 Hours during Securities Trading. 3. No Business Name - Not Investment Related - Home Based - Other-Expert Networks - Speaker/Consultant Started 04/17/2017; Spends 2% of his time devoted to this business/0 hours during Securities Trading. 4. Mr. Gerber also serves as an outside consultant for Gerson Lehrman Group ("GLG"), an expert network. In this capacity, Mr. Gerber consults on research projects and financial industry issues; spends approximately 1% of his time in this capacity/0 hours during Securities Trading. 5. Cocoon Music LLC, 2716 Ocean Park Blvd #2020, Santa Monica, CA 90405; not investment related; a video production facility and social media streaming channel; Co-founder and a Managing Member; Responsible for overseeing digital strategy and finance; Start date: August, 2019; Spends 5% of his time devoted to this business. 6. Mr. Gerber is a non-controlling minority owner of Roundhill Financial Inc., 575 Fifth Avenue, New York, NY 10017; a registered investment adviser. Mr. Gerber devotes approximately 1% of his time in this capacity (0% of time occurs during trading hours). Mr. Gerber provides strategic advice and digital strategy. 7. Mr. Gerber is a non-controlling minority owner and member of the Board of Directors of House Hack LLC, a privately held real estate company. Mr. Gerber devotes less than 5% of his time in this capacity (0% of time occurs during trading hours). Mr. Gerber provides strategic financial advice as well as evaluates real estate opportunities for the company. 8. Mr. Gerber is a non-controlling minority owner of Future Fund LLC. Mr. Gerber is a member of the advisory board of the firm and provides marketing and strategic advice to the firm. Mr. Gerber devotes 1% of his time in this capacity (0% occurs during trading hours).
CRS (Client Relationship Summary) - RIA
Click below to view Ross Matthew Gerber's 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®
NoneExperience
Current
July 20, 2010 - Present
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
Office #1: 2716 Ocean Park Blvd #2020-2022, Santa Monica, CA 90405RIA
CRD#: 153649
SANTA MONICA, CA
Past
October 22, 2012 - December 22, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
SANTA MONICA, CA
Past
October 31, 2005 - October 24, 2012
OSAIC SERVICES, INC.
BD
CRD#: 133763
SANTA MONICA, CA
Past
June 16, 1999 - June 9, 2010
INDEPENDENT CAPITAL MANAGEMENT
RIA
CRD#: 121354
SANTA MONICA, CA
Past
June 15, 1994 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
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".
GK
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
GERBER KAWASAKI FINANCIAL ADVISORS | GERBER, ROSS | GERBER KAWASAKI, INC. | GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
CRD#: 153649 / SEC#: 801-79339
RIA
Registered Investment Advisory firm - (3/14/2014 Approved)California
Registered Investment Advisory firm - (4/17/2014 Terminated)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
California(7/20/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
GK
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
GERBER KAWASAKI FINANCIAL ADVISORS | GERBER, ROSS | GERBER KAWASAKI, INC. | GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
CRD#: 153649 / SEC#: 801-79339
RIA
Registered Investment Advisory firm - (3/14/2014 Approved)California
Registered Investment Advisory firm - (4/17/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2437 Main Street, Santa Monica, CA 90405
Mailing Address
Phone number
(310) 399-6397
Established
Firm type
Fiscal year end
# of Employees
54
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,238 |
| AUM (Assets Under Management) | $ 3,191,645,341 |
Red Flags
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