Gerard J. Hallman
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.
Gerard James Hallman, who also goes by Jerry Hallman, Gerry Hallman, was a registered financial professional .
Gerard is a previously registered financial professional and started their career in finance in 1978. Gerard had worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2016 - July 10, 2018
CETERA INVESTMENT ADVISERS LLC
July 15, 2016 - July 10, 2018
CETERA FINANCIAL SPECIALISTS LLC
March 12, 2014 - July 11, 2014
LIBERTY ASSET MANAGEMENT
December 21, 2001 - October 15, 2007
KNBT SECURITIES, INC.
November 24, 1986 - July 13, 2001
SUMMIT FINANCIAL SERVICES GROUP, INC.
March 1, 1978 - November 13, 1985
FROELICH & CO., INC.
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
Exams
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
