Gerald O. Summers

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CRD#: 872589

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Gerald Otto Summers, CFP®, who also goes by Jerry Summers, was a registered financial professional .

Gerald is a previously registered financial professional and started their career in finance in 1979. Gerald had worked at 11 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 53, Series 24, Series 4 and Series 12 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jerry Summers

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Past

January 10, 2019 - July 17, 2025

ARTIFEX FINANCIAL GROUP, LLC

RIA

CRD#: 140643

Cincinnati, OH

Past

January 9, 2019 - January 9, 2019

GERALD O. SUMMERS, LLC

RIA

CRD#: 145620

MASON, OH

Past

January 1, 2008 - December 31, 2018

GERALD O. SUMMERS, LLC

RIA

CRD#: 145620

MASON, OH

Past

January 2, 2004 - December 31, 2005

THE TAVENNER COMPANY

CRD#: 18004

SPRINGFIELD, OH

Past

July 26, 2000 - January 5, 2004

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

WESTCHESTER, OH

Past

July 14, 2000 - December 31, 2003

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

October 30, 1995 - July 18, 2000

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

December 18, 1991 - November 7, 1995

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

October 10, 1989 - December 21, 1991

AEGON USA SECURITIES INC.

CRD#: 13302

CEDAR RAPIDS, IA

Past

March 13, 1987 - October 21, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

March 7, 1980 - March 26, 1987

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

October 24, 1979 - April 7, 1980

MORGAN STANLEY DW INC.

CRD#: 7556

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ARTIFEX FINANCIAL GROUP, LLC

ARTIFEX FINANCIAL GROUP, LLC | ARTISAN FINANCIAL GROUP, LLC

CRD#: 140643 / SEC#: 801-112759

RIA

Registered Investment Advisory firm - (4/2/2018 Approved)

Ohio

Registered Investment Advisory firm - (5/28/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/11/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/13/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 5/20/1996

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/20/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 4/10/1996

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/24/1987

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/3/1983

Registered Options Principal Examination

Principal/Supervisory Exam

Series 12

Date: 5/21/1983

NYSE Branch Manager Examination

Current Firm

ARTIFEX FINANCIAL GROUP, LLC

ARTIFEX FINANCIAL GROUP, LLC | ARTISAN FINANCIAL GROUP, LLC

CRD#: 140643 / SEC#: 801-112759

RIA

Registered Investment Advisory firm - (4/2/2018 Approved)

Ohio

Registered Investment Advisory firm - (5/28/2018 Terminated)

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Contact information

Main Address

2305 Far Hills Avenue Suite 206, Oakwood, OH 45419

Mailing Address

Phone number

(855) 752-6644

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ARTIFEX FINANCIAL GROUP FORM ADV PART 2A (MARCH 18, 2025) (3/18/2025)

Regulatory assets under management

Total Number of Accounts	917
AUM (Assets Under Management)	$ 282,024,707

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Gerald O. Summers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GERALD O. SUMMERS, LLC

GERALD O. SUMMERS, LLC

THE TAVENNER COMPANY

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

A. G. EDWARDS & SONS, INC.

WELLS FARGO CLEARING SERVICES, LLC

AEGON USA SECURITIES INC.

INTEGRATED RESOURCES EQUITY CORPORATION

E. F. HUTTON & COMPANY INC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

ARTIFEX FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/11/1994

Series 63

Date: 11/13/1979

Series 3

Date: 5/20/1996

Series 7

Date: 10/20/1979

Series 53

Date: 4/10/1996

Series 24

Date: 8/24/1987

Series 4

Date: 8/3/1983

Series 12

Date: 5/21/1983

Current Firm

ARTIFEX FINANCIAL GROUP, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARTIFEX FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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