Graham C. Gerlach

ROBERTSON STEPHENS

Sewickley, PA

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CRD#: 3093059

Professional summary

Graham Christy Gerlach is a registered financial advisor currently at ROBERTSON STEPHENS located in Sewickley, Pennsylvania.

Graham is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Graham has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.

1) Ratio Wealth Group LLC, Independent Licensed Insurance Agent, 12/2019 - Present; 5% of my time devoted to this business/5% during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Graham Christy Gerlach's CRS (Customer Relationship Summary).

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

August 7, 2024 - Present

ROBERTSON STEPHENS

RIA

CRD#: 289977

Sewickley, PA

Past

August 17, 2020 - April 19, 2021

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

December 18, 2019 - August 28, 2024

RATIO WEALTH GROUP LLC

RIA

CRD#: 306278

SEWICKLEY, PA

Past

December 24, 2014 - December 11, 2019

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Denver, CO

Past

December 19, 2014 - December 11, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

Denver, CO

Past

January 2, 2008 - December 24, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

DENVER, CO

Past

November 25, 1998 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

November 25, 1998 - December 24, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

DENVER, CO

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".

ROBERTSON STEPHENS

ROBERTSON STEPHENS | ROBERTSON STEPHENS WEALTH MANAGEMENT, LLC

CRD#: 289977 / SEC#: 801-111814

RIA

Registered Investment Advisory firm - (10/11/2017 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.

Highlighted states indicate IAR registrations

IAR

Colorado
(8/7/2024)

IAR

Pennsylvania
(8/7/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/17/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/18/1998

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: 10/4/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/16/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ROBERTSON STEPHENS

ROBERTSON STEPHENS | ROBERTSON STEPHENS WEALTH MANAGEMENT, LLC

CRD#: 289977 / SEC#: 801-111814

RIA

Registered Investment Advisory firm - (10/11/2017 Approved)

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Contact information

Main Address

455 Market Street Ste. 1450, San Francisco, CA 94105-2442

Mailing Address

Phone number

(415) 500-6810

Established

Firm type

Fiscal year end

# of Employees

113

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROBERTSON STEPHENS ADV PART 2A BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts	7,419
AUM (Assets Under Management)	$ 7,139,384,497

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.

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Advisor Monitoring

Firm Stability Insights

Graham C. Gerlach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Graham Christy Gerlach's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

RATIO WEALTH GROUP LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

ROBERTSON STEPHENS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/17/2006

Series 63

Date: 12/18/1998

SIE

Date: 10/1/2018

Series 7

Date: 10/4/2007

Series 6

Date: 11/16/1998

Current Firm

ROBERTSON STEPHENS

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROBERTSON STEPHENS

TRUST BUT VERIFY

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