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CRD#: 37869
BD

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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

CEROS FINANCIAL SERVICES, INC. is located at 1445 Research Boulevard Suite 530, Rockville, MD 20850 and was first established at Philadelphia, Massachusetts in 09/30/1994. After operating for 31 years, CEROS FINANCIAL SERVICES, INC. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of CEROS FINANCIAL SERVICES, INC.’s clients are individuals and 0% of their clients are high net worth individuals. CEROS FINANCIAL SERVICES, INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at CEROS FINANCIAL SERVICES, INC. are registered to handle securities or provide financial advice. The firm has 4 disclosures, 4 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access CEROS FINANCIAL SERVICES, INC.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at CEROS FINANCIAL SERVICES, INC.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

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Where the Statistical Data for CEROS FINANCIAL SERVICES, INC. Comes From

Understanding the Statistics for CEROS FINANCIAL SERVICES, INC. and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
4

FIRM INFORMATION

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Firm Size
Small
Phone Number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm Type
Corporation
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS

Customer Relationship Summary (CRS / FINRA)

DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

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Advisor's working at CEROS FINANCIAL SERVICES, INC.

KG

Kenneth Dwain Graves

IAR
RR
CRD#: 1976686
Location:
Suwanee, GA 30024
Company:
CAPITAL RESEARCH ADVISORS, LLC
Disclosures:
Experience:
33 years
View Profile
CR

Carl Richard Resnick

IAR
RR
CRD#: 1912294
Location:
Bloomfield Hills, MI 48302-1432
Company:
FLEXIBLE PLAN INVESTMENTS LTD
Disclosures:
Experience:
32 years
View Profile
PB

Patrick Terence Bassett

Patrick T Bassett
IAR
RR
CRD#: 2337415
Location:
Dunkirk, MD
Company:
JANSSON FINANCIAL SVCS
Disclosures:
Experience:
32 years
View Profile
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