GH
Gerald F. Hendricks
STRATEGAS ASSET MANAGEMENT
New York, NY 10017
Some features on this profile are disabled
CRD#: 2806172
GH
Professional summary
Gerald Francis Hendricks, who also goes by Gerald F Hendricks, Jerry Hendricks, Gerald Francis Hendricks, is a registered financial advisor currently at STRATEGAS ASSET MANAGEMENT, LLC located in New York, New York and STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS located in New York, New York.
Gerald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Gerald has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 87 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gerald F Hendricks | Jerry Hendricks | Gerald Francis Hendricks
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.
CRS (Client Relationship Summary) - RIA
Click below to view Gerald Francis Hendricks'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®
NoneExperience
Current
February 18, 2021 - Present
STRATEGAS ASSET MANAGEMENT, LLC
Office #1: 52 Vanderbilt Avenue 19th Floor, New York, NY 10017RIA
CRD#: 172000
New York, NY
Current
February 18, 2021 - Present
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
Office #1: 52 Vanderbilt Avenue 19th Floor, New York, NY 10017RIA
BD
CRD#: 149326
New York, NY
Current
February 18, 2021 - Present
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
Office #1: 52 Vanderbilt Avenue 19th Floor, New York, NY, 10017RIA
BD
CRD#: 149326
New York, NY
Past
June 26, 2019 - January 7, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WHITE PLAINS, NY
Past
May 22, 2019 - January 7, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WHITE PLAINS, NY
Past
September 20, 2007 - April 19, 2010
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
STAMFORD, CT
Past
January 29, 1998 - July 5, 2007
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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".
SA
STRATEGAS ASSET MANAGEMENT, LLC
STRATEGAS ASSET MANAGEMENT, LLC
CRD#: 172000 / SEC#: 801-113292
RIA
Registered Investment Advisory firm - (5/25/2018 Approved)District of Columbia
Registered Investment Advisory firm - (6/4/2018 Terminated)New York
Registered Investment Advisory firm - (6/4/2018 Terminated)Texas
Registered Investment Advisory firm - (6/4/2018 Terminated)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.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
New York(2/18/2021)
IAR
New York(2/18/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/22/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
STRATEGAS ASSET MANAGEMENT, LLC
STRATEGAS ASSET MANAGEMENT, LLC
CRD#: 172000 / SEC#: 801-113292
RIA
Registered Investment Advisory firm - (5/25/2018 Approved)District of Columbia
Registered Investment Advisory firm - (6/4/2018 Terminated)New York
Registered Investment Advisory firm - (6/4/2018 Terminated)Texas
Registered Investment Advisory firm - (6/4/2018 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
52 Vanderbilt Avenue 19th Floor, New York, NY 10017
Mailing Address
Phone number
(855) 273-7227
Established
Firm type
Fiscal year end
# of Employees
22
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 148,153,092 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 | ||
| 10/27/2022 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 6/6/2017 |
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.
