THOMAS THEODORE GERARDI

THOMAS THEODORE GERARDI is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 978 DEL MAR DR, THE VILLAGES, FL, 32159.

THOMAS THEODORE GERARDI has worked at CETERA ADVISORS LLC since March 07, 2017

Disclosure History

THOMAS THEODORE GERARDI has 2 Disclosure Event(s).

Date: February 07, 2014
Category: Customer Dispute
Allegations: CLIENT'S SON ALLEGES THE INVESTMENTS MADE IN 2011 AND 2012 WERE MISREPRESENTED AND UNSUITABLE.
Damage Amount Requested: $44,431.00
Broker Comment: THE COMPLAINT WAS DENIED IN ITS ENTIRETY. OUR FIRM FOUND NO FAULT WITH OUR REPRESENTATIVE'S ACTIONS OR ADVICE.

Date: December 08, 2010
Category: Financial
Type: SHORT SALE
Disposition: Satisfied/Released

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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