Ronald Pellerito

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CRD#: 359510

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 Pellerito was a registered financial professional .

Ronald is a previously registered financial professional and started their career in finance in 1968. Ronald had worked at 15 firms and has passed the Series 63, Series 1, Series 4, Series 53, Series 24 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 28, 1997 - May 26, 1999

GMS GROUP

CRD#: 8000

EAST HANOVER, NJ

Past

October 1, 1996 - March 3, 1997

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

October 4, 1995 - August 22, 1996

SEABOARD SECURITIES, INC.

CRD#: 755

FLORHAM PARK, NJ

Past

May 28, 1992 - September 27, 1995

LEHWALD, OROSEY & PEPE INCORPORATED

CRD#: 16677

BOCA RATON, FL

Past

May 24, 1991 - May 18, 1992

J. B. HANAUER & CO.

CRD#: 6958

PARSIPPANY, NJ

Past

October 5, 1990 - October 22, 1990

MERIDIAN SECURITIES, INC.

CRD#: 16468

Past

November 13, 1987 - July 8, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

September 16, 1987 - October 22, 1987

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

September 9, 1986 - September 22, 1988

C.A. ANDREW, INC.

CRD#: 16618

Past

December 16, 1980 - April 25, 1985

E.S.M. SECURITIES, INC.

CRD#: 7105

Past

June 13, 1980 - October 22, 1980

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

September 1, 1976 - August 17, 1978

MARSHALL AND MEYER BROKERAGE SERVICES, INC.

CRD#: 7254

Past

December 11, 1975 - June 22, 1976

WINTERS & COMPANY, INC.

CRD#: 6944

Past

September 20, 1974 - May 12, 1975

DEAN WITTER & CO. INCORPORATED

CRD#: 6466

Past

June 15, 1973 - October 16, 1974

HIBBARD & O'CONNOR SECURITIES, INC.

CRD#: 6420

Past

November 12, 1968 - April 6, 1973

HIBBARD OCONNOR & WEEKS

CRD#: 1000002

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".

GMS GROUP

CRD#: 8000 / SEC#: 801-126662, 8-23936

RIA

Registered Investment Advisory firm - SEC (11/22/2022 Approved)

Texas

Registered Investment Advisory firm - SEC (1/8/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 7/11/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 3/3/1967

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 6/3/1987

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 5/13/1987

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/28/1985

General Securities Principal Examination

Principal/Supervisory Exam

Series 40

Date: 11/13/1976

Registered Principal Examination

Current Firm

GMS GROUP

CRD#: 8000 / SEC#: 801-126662, 8-23936

RIA

Registered Investment Advisory firm - SEC (11/22/2022 Approved)

Texas

Registered Investment Advisory firm - SEC (1/8/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936

Mailing Address

120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936

Phone number

(973) 535-5000

Established

Delaware since 03/05/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (2 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

THE GMS GROUP DISCLOSURE BROCHURE (7/8/2025)

Direct owners and executive officers

Name	Position	CRD#
GMS GROUP HOLDINGS CORP	MEMBER
CAPONE, CARMINE CLAUDIO	EXECUTIVE VICE PRESIDENT/DIRECTOR	1124455
DEMBOWSKI, DANIELLE DENISE	CHIEF FINANCIAL OFFICER	5855269
DONOHUE, TIMOTHY JOSEPH	SROP/CROP/DIRECTOR/CHIEF COMPLIANCE OFFICER/COO	725373
DONOHUE, TIMOTHY JOSEPH	PRESIDENT	725373
ESTANISLAO, LEONARDO	CHIEF INFORMATION OFFICER/SENIOR VICE PRESIDENT/DIRECTOR	4622553
FELDMAN, JUSTYN SETH	SENIOR VICE PRESIDENT - DIRECTOR	2283535
FELDMAN, MELVIN	DIRECTOR, SR VICE PRESIDENT	205924
KONSIG, PAUL ROBERT	CEO	500443
KONSIG, PAUL ROBERT	DIRECTOR	500443
KOROSTOFF, DAVID BRUCE	DIRECTOR, SR. VICE PRESIDENT	1205712
LENZI, JEFFREY PAUL	SENIOR VICE PRESIDENT/DIRECTOR	2452390
LIPMAN, MATTHEW ERIC	SECRETARY	2367335
MANTE, PAUL DAVID	SENIOR VICE PRESIDENT - DIRECTOR	4911949
MCKENNA, MICHAEL JAMES	EXECUTIVE VICE PRESIDENT	1524460
PRICE, BARBARA BENEDICT	DIRECTOR, SR. VICE PRESIDENT	17944
VESSELS, STEPHEN GLENN	SENIOR VICE PRESIDENT/DIRECTOR	2403660

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 13,887,060

Disclosures

Regulatory Event	7
Arbitration	10

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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Firm Stability Insights

Ronald Pellerito

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WACHOVIA SECURITIES, INC.

SEABOARD SECURITIES, INC.

LEHWALD, OROSEY & PEPE INCORPORATED

J. B. HANAUER & CO.

MERIDIAN SECURITIES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

CIBC WORLD MARKETS CORP.

C.A. ANDREW, INC.

E.S.M. SECURITIES, INC.

CIBC WORLD MARKETS CORP.

MARSHALL AND MEYER BROKERAGE SERVICES, INC.

WINTERS & COMPANY, INC.

DEAN WITTER & CO. INCORPORATED

HIBBARD & O'CONNOR SECURITIES, INC.

HIBBARD OCONNOR & WEEKS

Primary Firm SEC Registration

GMS GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 7/11/1991

Series 1

Date: 3/3/1967

Series 4

Date: 6/3/1987

Series 53

Date: 5/13/1987

Series 24

Date: 6/28/1985

Series 40

Date: 11/13/1976

Current Firm

GMS GROUP

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GMS GROUP

TRUST BUT VERIFY

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