Gerald Iris
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 Iris, who also goes by Jerry Iris, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 2006. Gerald had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2013 - November 17, 2020
4THOUGHT FINANCIAL GROUP INC.
August 16, 2012 - October 8, 2014
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
January 4, 2010 - April 20, 2012
PARK AVENUE SECURITIES LLC
September 22, 2006 - June 11, 2009
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
4THOUGHT FINANCIAL GROUP INC.
CRD#: 162997 / SEC#: 801-74692
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
4THOUGHT FINANCIAL GROUP INC.
CRD#: 162997 / SEC#: 801-74692
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 828 |
| AUM (Assets Under Management) | $ 178,472,877 |
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.
