Inactive

Gerard George Guertin

Roffman Miller Associates Inc

Philadelphia, PA

Claim This Profile

Current Employers

Roffman Miller Associates Inc

1835 Market Street Suite 500, Philadelphia, PA 19103 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2016-09-02

PA RA
APPROVED

Since 2016-09-02

Branch Locations

1835 Market Street Suite 500, Philadelphia, PA 19103 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Charles Schwab & Co., Inc.	Yardley	PA	12/2012	Present
Charles Schwab Bank	Yardley	PA	12/2012	Present
Roffman Miller Associates, Inc.	Philaladelphia	PA	08/2016	Present

12/2012 → Present

Charles Schwab & Co., Inc.

Yardley, PA
12/2012 → Present

Charles Schwab Bank

Yardley, PA
08/2016 → Present

Roffman Miller Associates, Inc.

Philaladelphia, PA

Previous Registrations

2012-12-21 → 2016-07-08

Charles Schwab & Co., Inc.

Wayne, PA

Yardley, PA

Wilmington, DE

Philadelphia, PA
2010-08-05 → 2012-12-17

Lpl Financial Llc

Lansdale, PA

North Wales, PA
2008-09-29 → 2010-07-26

Citizens Securities, Inc.

Wynnewood, PA

Holmes, PA

Holmes, PA

Upper Darby, PA

Springfield, PA
2004-12-13 → 2008-10-02

Citigroup Global Markets Inc.

Bethesda, MD

Washington, DC

Philadelphia, PA

Washington, DC

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-12-02
S63	Uniform Securities Agent State Law Examination	1998-12-22

S65 Uniform Investment Adviser Law Examination

2004-12-02
S63 Uniform Securities Agent State Law Examination

1998-12-22

Designations

Other Names

Gerry Guertin
Gerard Georges Guertin

View on SEC IAPD

Other Firms

GLENMEDE INVESTMENT MANAGEMENT, LP

CLARK CAPITAL MANAGEMENT GROUP INC

GLOBAL ADVISERS, LLC

BIOPHY CAPITAL MANAGEMENT LLC

VERITABLE FINANCIALS LLC

CHARLES SCHWAB & CO., INC.

J.P. MORGAN SECURITIES LLC

Other Investors

JASON DOUGLAS PRIDE

SEAN EDWARD HERON

MICHAEL CRAVENS CROW

Adam Mark Conish

Eric Jason Richman

Christopher J Nixon

Other Offices

GLENMEDE INVESTMENT MANAGEMENT, LP · PHILADELPHIA, PA

CLARK CAPITAL MANAGEMENT GROUP INC · PHILADELPHIA, PA

GLOBAL ADVISERS, LLC · PHILADELPHIA, PA

BIOPHY CAPITAL MANAGEMENT LLC · PHILADELPHIA, PA

VERITABLE FINANCIALS LLC · PHILADELPHIA, PA

CHARLES SCHWAB & CO., INC. · Philadelphia, PA

MORGAN STANLEY · Philadelphia, PA

J.P. MORGAN SECURITIES LLC · Philadelphia, PA

More in Philadelphia, PA

Reviews

Want to share your experience?

Sign in to leave a review

Loading reviews...

Reach out to this advisor