Gregg W. Cerasuolo
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.
Gregg W Cerasuolo, who also goes by Gregg Wallace Cerasuolo, Gregg Cerasuolo, Wallace Gregg Cerasuolo, was a registered financial professional .
Gregg is a previously registered financial professional and started their career in finance in 2009. Gregg had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2015 - August 18, 2015
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
May 7, 2015 - August 18, 2015
FIRST REPUBLIC SECURITIES COMPANY, LLC
June 18, 2013 - June 16, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 13, 2013 - June 16, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 3, 2010 - June 11, 2013
UBS FINANCIAL SERVICES INC.
March 23, 2009 - June 11, 2013
UBS FINANCIAL SERVICES INC.
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
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
CRD#: 108559 / SEC#: 801-56293
Contact information
Regulatory assets under management
| Total Number of Accounts | 56,585 |
| AUM (Assets Under Management) | $ 86,270,585,130 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 02/28/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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