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GB

Gerald C. Brace

FNEX CAPITAL
Indianapolis, IN 46204
Some features on this profile are disabled
CRD#: 2598725
GB

Professional summary

Gerald Charles Brace is a registered financial professional currently at FNEX CAPITAL, LLC located in Indianapolis, Indiana.

Gerald is registered as a RR (Registered Representative) and started their career in finance in 1995. Gerald has worked at 10 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gerald Charles Brace'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®
None

Experience

Current

January 11, 2016 - Present

FNEX CAPITAL, LLC

Office #1: One Indiana Square Suite 2252, Indianapolis, IN 46204
BD
CRD#: 166316
Indianapolis, IN
Past

September 29, 2011 - December 4, 2015

MIDAMERICA FINANCIAL SERVICES, INC.

BD
CRD#: 47351
JOPLIN, MO
Past

March 27, 2009 - June 14, 2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
SUMMIT, NJ
Past

March 20, 2009 - June 14, 2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
SUMMIT, NJ
Past

August 15, 2007 - November 4, 2008

GUGGENHEIM INVESTMENTS

RIA
CRD#: 129288
SCOTCH PLAINES, NJ
Past

August 15, 2007 - November 4, 2008

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL
Past

May 21, 2004 - June 6, 2007

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
BOSTON, MA
Past

January 8, 2003 - May 20, 2004

OFI PRIVATE INVESTMENTS INC

RIA
CRD#: 107807
NEW YORK, NY
Past

September 19, 2000 - March 25, 2004

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY
Past

January 18, 1996 - July 29, 1996

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY
Past

April 19, 1995 - January 22, 1996

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(1/11/2016)
RR
Maine
(4/2/2024)
RR
Massachusetts
(4/2/2024)
RR
New Hampshire
(4/2/2024)
RR
New Jersey
(1/11/2016)
RR
New York
(1/11/2016)
RR
Rhode Island
(4/2/2024)
RR
Vermont
(4/2/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/29/2003
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/19/2002
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FNEX CAPITAL, LLC
APPLIED CAPITAL, LLC | FNEX CAPITAL, LLC

CRD#: 166316 / SEC#: , 8-69199

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Mailing Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Phone number
(317) 580-2588
Established
Indiana since 06/04/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FNEX, LLCMEMBER
HEGER, LOREN EUGENECEO, CCO, AMLCO, EXEC. REP.6143753
TEUFEL, FREDERICK CHARLESFINOP2092408

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

FNEX CAPITAL, LLC

CRD#: 166316Indianapolis, IN 46204

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