John F. Gerrior

PGIM INVESTMENTS LLC

Walnut Creek, CA 94596

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CRD#: 2728622

Professional summary

John Francis Gerrior III is a registered financial advisor currently at PGIM INVESTMENTS LLC located in Walnut Creek, California and PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Alamo, California.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. John has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Francis Gerrior III'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®

None

Experience

Current

February 17, 2009 - Present

PGIM INVESTMENTS LLC

Office #1: 1200 Mount Diablo Blvd Ste 109, Walnut Creek, CA 94596

RIA

CRD#: 105670

Walnut Creek, CA

Current

February 5, 2009 - Present

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

Alamo, CA

Past

February 27, 2006 - January 14, 2009

CLEARBRIDGE INVESTMENTS, LLC

RIA

CRD#: 137028

NEW YORK, NY

Past

December 1, 2005 - January 14, 2009

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

SAN MATEO, CA

Past

December 1, 1998 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 4, 1997 - April 6, 1998

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

Past

December 10, 1996 - October 24, 1997

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

PGIM INVESTMENTS LLC

PGIM INVESTMENTS LLC | PRUDENTIAL INVESTMENTS LLC | PRUDENTIAL INVESTMENTS FUND MANAGEMENT LLC

CRD#: 105670 / SEC#: 801-31104

RIA

Registered Investment Advisory firm - (12/31/1987 Approved)

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.

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

California
(2/5/2009)

IAR

California
(2/17/2009)

Hawaii
(1/7/2021)

New Jersey
(7/18/2011)

New York
(6/6/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/23/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/9/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PGIM INVESTMENTS LLC

PGIM INVESTMENTS LLC | PRUDENTIAL INVESTMENTS LLC | PRUDENTIAL INVESTMENTS FUND MANAGEMENT LLC

CRD#: 105670 / SEC#: 801-31104

RIA

Registered Investment Advisory firm - (12/31/1987 Approved)

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Contact information

Main Address

655 Broad Street, Newark, NJ 07102

Mailing Address

Phone number

(973) 802-9908

Established

Firm type

Fiscal year end

# of Employees

490

SEC notice filing (51 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

PGIM INVESTMENTS LLC (3/26/2025)

Regulatory assets under management

Total Number of Accounts	196
AUM (Assets Under Management)	$ 322,085,635,448

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

John F. Gerrior

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Francis Gerrior III's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CLEARBRIDGE INVESTMENTS, LLC

FRANKLIN DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

MFS FUND DISTRIBUTORS, INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

PGIM INVESTMENTS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/23/2004

Series 63

Date: 1/9/1997

SIE

Date: 10/1/2018

Series 7

Date: 12/9/1996

FINRA

Current Firm

PGIM INVESTMENTS LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PGIM INVESTMENTS LLC

TRUST BUT VERIFY

Contact information

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