Gary Arnold Tickel
Professional Summary
Gary Arnold Tickel is a registered financial advisor currently at INPLAY GLOBAL ADVISORS located in San Marino, California and FMN CAPITAL CORPORATION located in Mission Viejo, California. Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Gary has worked at 25 firms and has passed the Series 65, Series 63, Series 82TO, Series 52TO, Series 99TO, Series 79TO, Series 3, Series 57TO, SIE,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
CAPNET SECURITIES, INC. | TICKEL, GARY ARNOLD | MORRIS FINANCIAL, INC | INPLAY GLOBAL ADVISORS | FUTU INC | FUTU CLEARING INC | FMN CAPITAL CORPORATION | FINANCIAL MANAGEMENT NETWORK, INC.
Contact Information
Main Address
Ontario, CAMailing Address
1613 Chelsea Rd 838, San Marino, CA 91108Phone Number
(949) 342-5227# of Employees
1Documents
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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.
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State Registrations and Notice Filings
(11/5/2013)
(12/10/2014)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Sep 2020About the Series 79TO examSeries 5 — Interest Rate Options Examination
Passed Nov 1985Series 15 — Foreign Currency Options Examination
Passed Mar 1983Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Dec 1994SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Gary Arnold Tickel's CRS (Customer Relationship Summary).
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