Joseph C. Ferrara

GATEWAY INVESTMENT ADVISERS

Boston, MA 02199-8197

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CRD#: 5050630

Professional summary

Joseph Carmine Ferrara, who also goes by Joseph C Ferrara, is a registered financial advisor currently at GATEWAY INVESTMENT ADVISERS, LLC located in Boston, Massachusetts.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Joseph has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 86, Series 87 and Series 25 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph C Ferrara

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) - RIA

Click below to view Joseph Carmine Ferrara'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

February 22, 2024 - Present

GATEWAY INVESTMENT ADVISERS, LLC

Office #1: 888 Boylston Street Suite 800, Boston, MA 02199-8197

RIA

CRD#: 146681

Boston, MA

Past

March 20, 2018 - July 19, 2022

NATIXIS DISTRIBUTION, LLC

CRD#: 34754

BOSTON, MA

Past

December 23, 2010 - June 20, 2012

EZE CASTLE TRANSACTION SERVICES LLC

CRD#: 132246

BOSTON, MA

Past

July 5, 2007 - August 3, 2010

BAY CREST PARTNERS, LLC

CRD#: 39944

BOSTON, MA

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".

GATEWAY INVESTMENT ADVISERS, LLC

CRD#: 146681 / SEC#: 801-68972

RIA

Registered Investment Advisory firm - (4/18/2008 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

Massachusetts
(2/22/2024)

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: 3/29/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/14/2021

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: 3/20/2018

General Securities Representative Examination

General Industry/Product Exam

Series 86

Date: 12/10/2008

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 11/7/2008

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 25

Date: 11/21/2007

NYSE Trading Assistant Examination

Current Firm

GATEWAY INVESTMENT ADVISERS, LLC

CRD#: 146681 / SEC#: 801-68972

RIA

Registered Investment Advisory firm - (4/18/2008 Approved)

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Contact information

Main Address

312 Walnut Street Suite 3500, Cincinnati, OH 45202-9834

Mailing Address

Phone number

(513) 719-1100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GATEWAY INVESTMENT ADVISERS, LLC FORM ADV PARTS 2A AND 2B DATED 2025 (9/26/2025)

Regulatory assets under management

Total Number of Accounts	276
AUM (Assets Under Management)	$ 10,909,371,942

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

Joseph C. Ferrara

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Carmine Ferrara's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIXIS DISTRIBUTION, LLC

EZE CASTLE TRANSACTION SERVICES LLC

BAY CREST PARTNERS, LLC

Primary Firm SEC Registration

GATEWAY INVESTMENT ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/29/2023

Series 63

Date: 12/14/2021

SIE

Date: 10/1/2018

Series 7

Date: 3/20/2018

Series 86

Date: 12/10/2008

Series 87

Date: 11/7/2008

Series 25

Date: 11/21/2007

Current Firm

GATEWAY INVESTMENT ADVISERS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GATEWAY INVESTMENT ADVISERS, LLC

TRUST BUT VERIFY

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