Branch offices
0 offices
FINRA: Small firm
CRD #38097 · FINRA BrokerCheck + SEC IAPD
Gerard Asset Management, Ltd.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Gerard Asset Management, Ltd. ranks #2,803 of 20,055 by disclosure count (most disclosures first). Gerard Asset Management, Ltd. carries 2 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade B.
- Grade B
- Safety grade
- 0
- branch offices
- 2
- disclosures
- #2,803 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 38097 Gerard Asset Management, Ltd.
Gerard Asset Management, Ltd. · Grade B · 2 disc · 2.00/office · Single-office firm
- CRD 38097
- GRADE B
- DISC 2
- REG 2
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #2,803 of 20,055
- BOOK Single-office firm
Nearest same-size peer: Abramenko & Company, Inc. (2.00 disc/office)
Gerard Asset Management, Ltd. ranks #2,803 of 20,055 by disclosure count among graded broker-dealers; heavy load at 2.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
2 events
On FINRA BrokerCheck
Regulatory events
2 actions
100% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 2 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 2 |
Counts for Gerard Asset Management, Ltd. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 2 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 38097
Regulator-heavy mix
Gerard Asset Management, Ltd. in the heavier-disclosure third
Gerard Asset Management, Ltd. carries 2 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#2,803 of 20,055). Regulator-initiated events are 100% of the book (2 regulatory / 0 arbitration / 0 civil).
100% of Gerard Asset Management, Ltd.'s 2 disclosures are regulator-initiated (2 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Gerard Asset Management, Ltd.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Gerard Asset Management, Ltd. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Gerard Asset Management, Ltd. ranks #2,803 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Gerard Asset Management, Ltd.?
A grade of B reflects Gerard Asset Management, Ltd.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 2 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Gerard Asset Management, Ltd. have?
Gerard Asset Management, Ltd. has 2 total FINRA disclosures, including 2 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Gerard Asset Management, Ltd.?
Gerard Asset Management, Ltd. operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Gerard Asset Management, Ltd.'s disciplinary record?
You can verify Gerard Asset Management, Ltd.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 38097. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Gerard Asset Management, Ltd. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Gerard Asset Management, Ltd. carries 2 disclosures across 0 branch offices (about 2.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Abramenko & Company, Inc. - 2.00 disclosures/office, nearest single-office firm peer to Gerard Asset Management, Ltd.'s 2.00
- Abshier Webb Donnelly & Baker, Inc. - 2.00 disclosures/office, nearest single-office firm peer to Gerard Asset Management, Ltd.'s 2.00
- ABW Trading, LLC - 2.00 disclosures/office, nearest single-office firm peer to Gerard Asset Management, Ltd.'s 2.00
- Red Flags in Advisor Records - How to read Gerard Asset Management, Ltd.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 2 disclosures behind Gerard Asset Management, Ltd.'s Grade B.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Gerard Asset Management, Ltd..
- Compare firms - put Gerard Asset Management, Ltd. next to peers on grade and footprint.
Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.