Gerald P. Iorio

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CRD#: 4550556

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.

Gerald Peter Iorio, who also goes by Gerry Iorio, was a registered financial professional .

Gerald is a previously registered financial professional and started their career in finance in 2004. Gerald had worked at 9 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gerry Iorio

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

September 24, 2021 - August 7, 2024

CAZ INVESTMENTS L.P.

RIA

CRD#: 113931

HOUSTON, TX

Past

April 1, 2021 - September 3, 2021

DISTRIBUTION SERVICES, LLC

CRD#: 25938

PORTLAND, ME

Past

August 1, 2019 - March 17, 2021

FORESIDE FUND SERVICES, LLC

CRD#: 46106

New York, NY

Past

March 19, 2010 - April 9, 2021

INTERNATIONAL VALUE ADVISERS, LLC

RIA

CRD#: 146105

NEW YORK, NY

Past

November 10, 2009 - August 1, 2019

BD COMPLIANCE SOLUTIONS, LLC

CRD#: 30188

NEW YORK, NY

Past

April 17, 2009 - December 31, 2009

FORESIDE DISTRIBUTION SERVICES, L.P.

CRD#: 15634

PORTLAND, ME

Past

October 8, 2007 - January 8, 2009

VAN ECK SECURITIES CORPORATION

CRD#: 2269

NEW YORK, NY

Past

July 10, 2006 - October 2, 2007

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

NEW YORK, NY

Past

July 10, 2006 - October 2, 2007

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

March 24, 2006 - June 30, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

JERSEY CITY, NJ

Past

May 13, 2004 - June 30, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

CAZ INVESTMENTS L.P.

CAZ INVESTMENTS L.P. | TRINITY WEALTH MANAGEMENT LP

CRD#: 113931 / SEC#: 801-60606

RIA

Registered Investment Advisory firm - (9/27/2001 Approved)

Texas

Registered Investment Advisory firm - (9/27/2001 Terminated)

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

IAR

Series 66

Date: 3/21/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/29/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/12/2004

General Securities Representative Examination

Current Firm

CAZ INVESTMENTS L.P.

CAZ INVESTMENTS L.P. | TRINITY WEALTH MANAGEMENT LP

CRD#: 113931 / SEC#: 801-60606

RIA

Registered Investment Advisory firm - (9/27/2001 Approved)

Texas

Registered Investment Advisory firm - (9/27/2001 Terminated)

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Contact information

Main Address

One Riverway Suite 2000, Houston, TX 77056

Mailing Address

Phone number

(713) 403-8250

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 CAZ DISCLOSURE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	10,613
AUM (Assets Under Management)	$ 8,653,972,299

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

Gerald P. Iorio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DISTRIBUTION SERVICES, LLC

FORESIDE FUND SERVICES, LLC

INTERNATIONAL VALUE ADVISERS, LLC

BD COMPLIANCE SOLUTIONS, LLC

FORESIDE DISTRIBUTION SERVICES, L.P.

VAN ECK SECURITIES CORPORATION

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CAZ INVESTMENTS L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/21/2006

Series 7TO

Date: 3/29/2024

SIE

Date: 10/1/2018

Series 7

Date: 5/12/2004

Current Firm

CAZ INVESTMENTS L.P.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAZ INVESTMENTS L.P.

TRUST BUT VERIFY

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