Gerry Rosenfeld
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.
Gerry Rosenfeld, who also goes by Gerald H Rosenfeld, Gerald Harvey Rosenfeld, Gerald Rosenfeld, Gerry Harvey Rosenfeld, Gerry Rosenfeld, was a registered financial professional .
Gerry is a previously registered financial professional and started their career in finance in 1979. Gerry had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2012 - July 17, 2020
J.P. MORGAN SECURITIES LLC
October 1, 2012 - July 17, 2020
J.P. MORGAN SECURITIES LLC
March 1, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 1, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - June 30, 2009
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - June 30, 2009
CHASE INVESTMENT SERVICES CORP.
March 30, 2007 - May 2, 2009
WAMU INVESTMENTS, INC.
February 2, 1998 - May 2, 2009
WAMU INVESTMENTS, INC.
April 21, 1997 - January 9, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
September 25, 1995 - April 21, 1997
FIMCO SECURITIES GROUP, INC.
December 1, 1993 - August 31, 1995
UBS FINANCIAL SERVICES INC.
March 7, 1991 - December 7, 1993
W.J. GALLAGHER & COMPANY, INC.
February 8, 1991 - March 25, 1991
QUEST CAPITAL STRATEGIES, INC.
September 4, 1990 - December 31, 1990
INVESTACORP, INC.
April 4, 1988 - September 7, 1990
MORGAN STANLEY DW INC.
January 25, 1983 - April 27, 1988
E. F. HUTTON & COMPANY INC
November 1, 1979 - February 22, 1983
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
Series 12
Date: 5/21/1983
NYSE Branch Manager ExaminationCurrent Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
