Ronald J. Gerino
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.
Ronald James Gerino was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1998. Ronald had worked at 5 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2003 - November 18, 2004
FISERV INVESTOR SERVICES, INC.
September 26, 2001 - February 27, 2002
WELLS FARGO CLEARING SERVICES, LLC
March 3, 1999 - August 6, 2001
AMSOUTH INVESTMENT SERVICES, INC.
June 4, 1998 - January 14, 1999
IDS LIFE INSURANCE COMPANY
June 4, 1998 - January 14, 1999
AMERIPRISE FINANCIAL SERVICES, 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
FISERV INVESTOR SERVICES, INC.
CRD#: 34637 / SEC#: , 8-46496
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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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