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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Alvin Waino Gebhart JR.

Alvin W. Gebhart

GEBHART & ASSOCIATES
FALLBROOK, CA 92028
Some features on this profile are disabled
CRD#: 1005905
Alvin Waino Gebhart JR.

Professional summary

Alvin Waino Gebhart JR. was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Alvin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Prior to being barred, Alvin has worked at 7 firms, which includes AFA FINANCIAL GROUP LLC, SENTRA SECURITIES CORPORATION, MUTUAL SERVICE CORPORATION, MONY SECURITIES CORPORATION, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC..

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Alvin Waino Gebhart Jr | Alvin Waino Gebhart

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) - RIA

Click below to view Alvin Waino Gebhart JR.'s CRS (Customer Relationship Summary).

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: 2005

Experience

Current

June 3, 1998 - Present

GEBHART & ASSOCIATES, INC

Office #1: 301 N. Vine Street, Fallbrook, CA 92028
RIA
CRD#: 123029
FALLBROOK, CA
Past

April 20, 2004 - June 2, 2005

AFA FINANCIAL GROUP, LLC

BD
CRD#: 127648
CALABASAS, CA
Past

August 22, 2000 - February 13, 2004

SENTRA SECURITIES CORPORATION

RIA
CRD#: 10249
CARLSBAD, CA
Past

August 7, 2000 - February 13, 2004

SENTRA SECURITIES CORPORATION

BD
CRD#: 10249
PHOENIX, AZ
Past

January 30, 1996 - August 14, 2000

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

March 9, 1994 - January 29, 1996

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

May 16, 1983 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

February 18, 1982 - February 28, 1994

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(6/3/1998)
IAR
Texas
(8/3/2004)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/9/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/26/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/10/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/13/1983
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/29/2001
General Securities Principal Examination

Current Firm

G&
GEBHART & ASSOCIATES, INC
GEBHART & ASSOCIATES, INC

CRD#: 123029 / SEC#:

California
Registered Investment Advisory firm - (6/3/1998 Approved)
Texas
Registered Investment Advisory firm - (8/3/2004 Conditional Restricted)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Penn Valley, CA
Mailing Address
Phone number
(760) 822-2043
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

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.

Company Information

GEBHART & ASSOCIATES, INC

CRD#: 123029Fallbrook, CA 92028

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