Gerardo Garza
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.
Gerardo Garza, who also goes by Jerry Garza, was a registered financial professional .
Gerardo is a previously registered financial professional and started their career in finance in 1998. Gerardo had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2020 - August 23, 2021
VOYA FINANCIAL ADVISORS, INC.
February 4, 2020 - August 23, 2021
VOYA FINANCIAL ADVISORS, INC.
August 13, 2019 - December 31, 2019
VOYA FINANCIAL PARTNERS, LLC
May 2, 2019 - December 31, 2019
VOYA FINANCIAL PARTNERS, LLC
January 15, 2015 - April 11, 2018
VANGUARD ADVISERS, INC.
June 17, 2014 - April 11, 2018
VANGUARD MARKETING CORPORATION
October 23, 2009 - July 8, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - July 8, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 17, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 8, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 19, 2006 - December 5, 2008
CHASE INVESTMENT SERVICES CORP.
July 19, 2006 - December 5, 2008
CHASE INVESTMENT SERVICES CORP.
April 28, 2005 - July 19, 2006
USAA FINANCIAL PLANNING SERVICES
April 28, 2005 - July 19, 2006
USAA FINANCIAL ADVISORS, INC.
April 13, 2004 - April 6, 2005
BANC ONE SECURITIES CORPORATION
April 13, 2004 - April 6, 2005
BANC ONE SECURITIES CORPORATION
January 2, 2004 - February 25, 2004
USAA INVESTMENT SERVICES COMPANY
August 26, 2002 - October 17, 2003
USAA INVESTMENT SERVICES COMPANY
October 21, 1998 - February 25, 2004
USAA INVESTMENT SERVICES COMPANY
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
