CG
Carl Gerace
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CRD#: 2658372
CG
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.
Carl Gerace was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1995. Carl had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 62 and Series 6 exams.
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.
1)AMERICAN SELECT INSURANCE- HEALTH INSURANCE 2)AFLAC SALES REP FOR INSURANCE, ACCIDENT, SICKNESS, DENTAL, HOSPITAL, INTENSIVE CARE, SPECIAL EVENT. SELL ABOVE POLICIES TO CLIENTS. 3) NAME OF OTHER BUSINESS: KIWANIS FOUNDATION OF CHARLOTTE COUNTY ; INVESTMENT RELATED: NO ; ADDRESS: 1107 W. MARION AVE, SUITE 115, PUNTA GORDA, FL 33950 NATURE OF BUSINESS: CHARITABLE ORGANIZATION ; START DATE: 10/2011 ; POSITION/TITLE/RELATIONSHIP: DIRECTOR ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: OVERSEE SCHOLARSHIP FUNDING AND HELP SELECT STUDENTS ; 4) CHARITABLE ORG-TREASURER SINCE 1/1/05-PAY BILLS COLLECT BILLS, MAKE DEPOSITS-2-3HR/WK. 5) (NOTE: COMPANY NAME NOT LISTED ON ACTIVITY FORM) - NOT INVESTMENT RELATED - NATURE OF BUSINESS: HEALTH INSURANCE - HEALTH INSURANCE PRODUCTS - TITLE: REP - STARTED 1/1/05 - DUTIES: SELL HEALTH INSURAHCE TO INDIVIDUALS & BUSINESSES - WORK 10 HRS/WK. 6) COAST FINANCIAL WEALTH MANAGEMENT; DBA FOR INVESTMENT PRACTICE-INV. RELATED; CHARLOTTE HARBOR, FL; INVESTMENT BUSINESS; INVESTMENT ADVISER REPRESENTATIVE; SINCE 08/2012; 40 HRS/MONTH DURING SECURITIES TRADIND HOURS: 7)SOUTH COAST HOLDINGS, NON-INVESTMENT RELATED, 23188 FREEDOM AVE., CHARLOTTE HARBOR, FL, COMMERCIAL REAL ESTATE RENTAL, START DATE 01/01/2004, OWNER, DIRECTOR, STOCKHOLDER: 8) TRUSTEE FOR CLIENT TRUST; INVESTMENT RELATED: 9) NAME OF OTHER BUSINESS: FLORIDA STATE ELKS ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 24175 SE HIGHWAY 450, UMATILLA, FL 32784; NATURE OF BUSINESS: NON-PROFIT CHARITY; START DATE: 08/2018; POSITION/TITLE/RELATIONSHIP: CHAIRMAN; APX NUMBER OF HOURS PER WEEK: 2-5; APX NUMBER OF HOURS DURING TRADING HOURS: 2-5; BRIEF DESCRIPTION OF DUTIES: CHAIRMAN OF PAST PRESIDENT ADVISORY BOARD & VICE-CHAIRMAN OF THE FLORIDA STATE ELKS BOARD OF DIRECTOR ; 10) NAME OF OTHER BUSINESS: ELKS USA GRAND LODGE HEADQUARTERS ; INVESTMENT RELATED: NO ; ADDRESS: 2750 N LAKEVIEW AVE, CHICAGO IL 60614 ; NATURE OF BUSINESS: NON-PROFIT CHARITY ; START DATE: 08/2020 ; POSITION/TITLE/RELATIONSHIP: COMMITTEE MEMBER ; APX NUMBER OF HOURS PER WEEK:1-5 APX NUMBER OF HOURS DURING TRADING HOURS: 1-5 BRIEF DESCRIPTION OF DUTIES: AREA 3 AUDITING AND ACCOUNTING COMMITTEE MEMBER ; 11) NAME OF OTHER BUSINESS: LJAC ENTERPRISES LLC ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: LIMITED LIABILITY COMPANY ; START DATE: 01/2012 ; POSITION/TITLE/RELATIONSHIP: MEMBER / OWNER ; APX NUMBER OF HOURS PER WEEK: 0 ; APX NUMBER OF HOURS DURING TRADING HOURS: 0 ; BRIEF DESCRIPTION OF DUTIES: INACTIVE LLC ;
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
June 15, 2000 - October 31, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
CHARLOTTE HARBOR, FL
Past
February 28, 2000 - October 31, 2024
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
CHARLOTTE HARBOR, FL
Past
December 13, 1995 - February 22, 2000
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 8/26/1996
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
