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David Andrew Geraty

BA Securities, LLC

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About David Andrew Geraty

David Geraty is a financial advisor with Ba Securities, LLC, a firm based in W. Conshohocken, Pennsylvania. David has been in the financial services industry since 1984 and has a wide range of experience in the field. He is registered in several states, including Maine, Minnesota, Oklahoma, Oregon, and Pennsylvania. David holds several licenses and certifications including Series 7, Series 24, Series 79, Series 86, Series 87, and the SIE exam. He is also a Registered Representative.

Firm Information

David Geraty is currently registered with BA Securities, LLC. BA Securities, LLC is a Limited Liability Company formed on January 25, 2010. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

215

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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David Geraty’s Registration & Firm History

PA

01/11/2023 - Present

BA Securities, LLC (W. CONSHOHOCKEN PA)

MN

09/14/2011 - 01/13/2023

NORTHLAND SECURITIES, INC. (EDEN PRAIRIE MN)

MN

06/08/2011 - 08/02/2011

AGENCY TRADING GROUP, INC. (WAYZATA MN)

MN

03/06/2009 - 06/08/2011

BURCH & COMPANY, INC (EDEN PRAIRIE MN)

MN

02/06/2004 - 07/14/2006

RBC CAPITAL MARKETS CORPORATION (MINNEAPOLIS MN)

NY

04/06/1998 - 02/06/2004

RBC DAIN RAUSCHER INC. (NEW YORK NY)

MN

01/21/1993 - 04/06/1998

WESSELS, ARNOLD & HENDERSON, L.L.C. (MINNEAPOLIS MN)

GA

02/04/1988 - 11/09/1992

EQUITABLE SECURITIES CORPORATION (ATLANTA GA)

NA

05/18/1981 - 01/12/1988

DEAN WITTER REYNOLDS INC.

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Licenses & Designations

BC

Issued 03/14/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/11/2011

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/02/2009

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 03/03/2005

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 05/16/1981

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for David Andrew Geraty. Review regulatory record here.
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