Jonathan D. Gericke
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.
Jonathan David Gericke was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1996. Jonathan had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2015 - August 26, 2016
AVANTAX ADVISORY SERVICES
July 16, 2015 - December 31, 2018
AVANTAX INVESTMENT SERVICES, INC.
July 20, 2011 - December 23, 2013
FORESTERS EQUITY SERVICES, INC.
October 26, 2010 - July 8, 2015
FORESTERS EQUITY SERVICES, INC.
December 1, 2006 - October 22, 2010
QUESTAR CAPITAL CORPORATION
March 29, 2004 - December 1, 2006
USALLIANZ SECURITIES, INC.
July 9, 2002 - March 25, 2004
ALLSTATE FINANCIAL SERVICES, LLC
September 14, 1999 - July 17, 2002
METROPOLITAN LIFE INSURANCE COMPANY
September 14, 1999 - July 17, 2002
MSI FINANCIAL SERVICES, INC.
February 3, 1997 - November 3, 1999
WOODBURY FINANCIAL SERVICES, INC.
June 20, 1996 - February 4, 1997
THE O.N. EQUITY SALES COMPANY
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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