Gerald R. Rowe
Professional summary
Gerald R Rowe III, CFP®, who also goes by Gerald R Rowe, Gerald Robert Rowe III, Gerald Rowe, Jay Rowe, Gerald Robert Rowe, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Nashville, Tennessee and CETERA INVESTMENT SERVICES LLC located in Nashville, Tennessee.
Gerald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Gerald has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Gerald R Rowe III's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2021
Experience
January 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3191 Lebanon Pike, Nashville, TN 37214January 10, 2023 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 3191 Lebanon Pike, Nashville, TN 37214May 18, 2022 - February 9, 2023
LPL FINANCIAL LLC
May 18, 2022 - February 9, 2023
LPL FINANCIAL LLC
May 30, 2018 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
May 25, 2018 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
February 28, 2017 - May 14, 2018
CUSO FINANCIAL SERVICES, L.P.
February 27, 2017 - May 14, 2018
CUSO FINANCIAL SERVICES, L.P.
September 22, 2015 - March 1, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 2015 - March 1, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 6, 2014 - July 13, 2015
TRUIST INVESTMENT SERVICES, INC.
March 6, 2014 - July 13, 2015
TRUIST INVESTMENT SERVICES, INC.
March 14, 2012 - January 31, 2014
FIFTH THIRD SECURITIES, INC.
March 14, 2012 - January 31, 2014
FIFTH THIRD SECURITIES, INC.
February 28, 2011 - May 10, 2011
EDWARD JONES
February 11, 2011 - May 10, 2011
EDWARD JONES
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/20/2023)
(1/10/2023)
(1/10/2023)
(1/20/2023)
(1/20/2023)
(1/12/2023)
(1/20/2023)
(1/10/2023)
(1/20/2023)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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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