Gina M. Geroldi
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.
Gina Marie Geroldi, who also goes by Gina Marie Fagan, was a registered financial professional .
Gina is a previously registered financial professional and started their career in finance in 1997. Gina had worked at 5 firms and has passed the Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2003 - May 30, 2008
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
August 4, 2003 - September 10, 2004
WELLS FARGO CLEARING SERVICES, LLC
January 28, 2003 - July 24, 2006
PRUDENTIAL EQUITY GROUP, LLC
January 28, 2003 - December 21, 2012
PRUCO SECURITIES, LLC.
January 7, 2000 - October 24, 2001
PRUDENTIAL EQUITY GROUP, LLC
December 22, 1999 - December 20, 2012
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 19, 1997 - October 25, 2001
PRUCO SECURITIES, LLC.
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
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SHAREHOLDER COMMON | |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| HARTNETT, CHRISTINA A | CHIEF OPERATING OFFICER | 2672099 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| SMIT, ROBERT PHILIP | FINOP, CFO | 2332366 |
| THOMSEN, JORDAN K | CHIEF LEGAL OFFICER AND SECRETARY | 2821664 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
