Nicholas L. Gerace
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.
Nicholas Lawrence Gerace, who also goes by Nicholas Gerace, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2012. Nicholas 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
October 6, 2017 - October 12, 2022
DYNASTY WEALTH MANAGEMENT, LLC
October 6, 2017 - October 12, 2022
DYNASTY SECURITIES, LLC
April 23, 2013 - September 21, 2017
TD PRIVATE CLIENT WEALTH LLC
April 8, 2013 - September 21, 2017
TD PRIVATE CLIENT WEALTH LLC
August 9, 2012 - October 9, 2012
EDWARD JONES
July 23, 2012 - October 9, 2012
EDWARD JONES
Primary Firm SEC Registration
DYNASTY WEALTH MANAGEMENT, LLC
CRD#: 153377 / SEC#: 801-71301
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
DYNASTY WEALTH MANAGEMENT, LLC
CRD#: 153377 / SEC#: 801-71301
Contact information
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 20,147 |
| AUM (Assets Under Management) | $ 8,671,816,356 |
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.
