Gerald J. Bavero
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 James Bavero SR, who also goes by Gerald James Bavero, Jerry Bavero, was a registered financial advisor .
Gerald is a previously registered financial advisor and started their career in finance in 1981. Gerald had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 22 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
April 2, 2014 - June 11, 2015
CAPITAL ANALYSTS
May 26, 2011 - May 15, 2015
LINCOLN INVESTMENT
August 2, 2010 - May 15, 2015
LINCOLN INVESTMENT
March 29, 2005 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
February 15, 2005 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
January 4, 2005 - March 24, 2005
PMG ASSET MANAGEMENT INC
May 18, 2004 - December 31, 2004
PMG SECURITIES CORPORATION
May 18, 2004 - February 15, 2005
PMG SECURITIES CORPORATION
October 24, 2003 - May 17, 2004
MAIN STREET MANAGEMENT COMPANY
April 12, 1989 - May 17, 2004
MAIN STREET MANAGEMENT COMPANY
September 24, 1988 - March 16, 1992
NATIONWIDE INVESTMENT SERVICES CORPORATION
May 22, 1987 - April 20, 1989
KEOGLER, MORGAN & COMPANY, INC.
January 25, 1985 - June 10, 1987
FSC SECURITIES CORPORATION
July 30, 1981 - March 28, 1985
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
July 30, 1981 - March 28, 1985
MONY SECURITIES CORPORATION
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
