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Gerardo Vergara

Gerardo Vergara

VERITY ASSET MANAGEMENT | Financial Advisor
OAKDALE, CA 95361-4212
Some features on this profile are disabled
CRD#: 7024337
Gerardo Vergara

Professional summary

Gerardo Vergara is a registered financial advisor currently at VERITY ASSET MANAGEMENT located in Oakdale, California and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Gerardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Gerardo has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

What are your service offerings?
Investment Management
Retirement Income Strategies
Business Retirement Plans
Are you a "fiduciary"?
Yes

Aliases

None

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 Gerardo Vergara'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

December 5, 2025 - Present

VERITY ASSET MANAGEMENT

Office #1: 210 S Sierra Ave Ste 106, Oakdale, CA 95361-4212
RIA
CRD#: 158667
OAKDALE, CA
Current

January 12, 2026 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901
BD
CRD#: 37157
SUMMIT, NJ
Past

January 22, 2020 - April 17, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
FAIR OAKS, CA
Past

January 22, 2020 - April 17, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
FAIR OAKS, CA
Past

January 29, 2019 - December 2, 2019

EDWARD JONES

RIA
CRD#: 250
FOLSOM, CA
Past

November 20, 2018 - December 2, 2019

EDWARD JONES

BD
CRD#: 250
FOLSOM, CA

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".
VA
VERITY ASSET MANAGEMENT
ENCOMPASS MORE | VERITY ASSET MANAGEMENT, INC. | VERITY ASSET MANAGEMENT

CRD#: 158667 / SEC#: 801-66730

RIA
Registered Investment Advisory firm - (5/26/2006 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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR
California
(12/5/2025)
RR
California
(1/12/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/13/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/20/2018
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/29/2018
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

VA
VERITY ASSET MANAGEMENT
ENCOMPASS MORE | VERITY ASSET MANAGEMENT, INC. | VERITY ASSET MANAGEMENT

CRD#: 158667 / SEC#: 801-66730

RIA
Registered Investment Advisory firm - (5/26/2006 Approved)
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Contact information

Main Address
280 S Mangum St Ste 550, Durham, NC 27701-3676
Mailing Address
Phone number
(919) 490-6717
Established
Firm type
Fiscal year end
# of Employees
67

SEC notice filing (35 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (1/5/2026)

Regulatory assets under management

Total Number of Accounts7,199
AUM (Assets Under Management)$ 1,041,329,944

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.

Company Information

VERITY ASSET MANAGEMENT

Financial AdvisorCRD#: 158667Oakdale, CA 95361-4212

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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