Jason Gerb
Jason Gerb is responsible for all aspects of the broker dealer compliance program across all of Advisor Group’s wealth management firms; including compliance policy design and implementation, compliance training, regulatory examinations, management of strategic projects, and advising Advisor Group personnel regarding applicable laws, rules, regulations, and compliance policies. Additionally, Mr. Gerb was appointed senior investor officer for the Advisor Group enterprise and responsible for all issues pertaining to senior and vulnerable investors.
Jason joined the firm in 2021 with more than 20 years of experience, most recently serving as Senior Compliance Group Manager for TD Private Client Wealth, LLC. Earlier roles included Chief Compliance Officer for Foresters Financial Services and its affiliated entities, and Chief Compliance Officer of Equinox Fund Management and its affiliated entities. He also served six years as a FINRA Principal Examiner in the New Jersey District Office. Jason is active in the industry, has been a speaker and panelist at FINRA and NSCP conferences and has served on the FINRA District 10 New York Regional Committee, and various committees for SIFMA, ICI, and NSCP.
Jason earned a BA Political Science and a Minor in Pre-Law from Montclair (N.J.) State University. He currently holds his FINRA Series 7, 24, and 66 licenses, and is a Certified Regulatory Professional (CRCP), a Certified Anti-Money Laundering Specialist (CAMS), a Certified Mutual Fund Specialist (CMFS), and previously served as a FINRA National Regulatory Expert (Mutual Funds/Variable Products).