Gary A. Psotka

SERVICE ONE FINANCIAL

San Juan Capistrano, CA 92675

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CRD#: 1209280

Professional summary

Gary Allan Psotka, who also goes by Gary A Psotka, is a registered financial advisor currently at SERVICE ONE FINANCIAL located in San Juan Capistrano, California.

Gary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Gary has worked at 8 firms and has passed the Series 63, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gary A Psotka

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.

GAP FINANCIAL INC., DBA: SERVICE ONE MORTGAGE=NON-INVESTMENT RELATED 80 HRS/MONTH BROKER FOR RESIDENTIAL AND COMMERCIAL REAL ESTATE. SERVICE ONE FINANCIAL=INVESTMENT RELATED 100+ HRS/MONTH SALE OF VARIABLE ANNUITIES, FIXED LIFE, VARIABLE LIFE, HEALTH AND DISABILITY INSURANCE. SERVICE ONE FINANCIA=RIA BUSINESS PROCESSED THROUGH TD AMERITRADE. SERVICE ONE FINANCE=NON-INVESTMENT RELATED 80HRS/MONTH MORTGAGE CONSULTING AND MORTGAGE SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Allan Psotka'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®

None

Experience

Current

February 13, 2009 - Present

SERVICE ONE FINANCIAL

Office #1: 27131 Calle Arroyo Suite 1722, San Juan Capistrano, CA 92675

RIA

CRD#: 149137

San Juan Capistrano, CA

Past

August 19, 2011 - January 6, 2012

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CRD#: 130390

RALEIGH, NC

Past

February 27, 2009 - November 6, 2009

FINANCIAL ADVISERS OF AMERICA, LLC

CRD#: 142170

LAKE FOREST, CA

Past

January 2, 2009 - February 17, 2009

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SAINT PETERSBURG, FL

Past

April 10, 2003 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

LAKE FOREST, CA

Past

April 4, 2003 - February 17, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

LAKE FOREST, CA

Past

July 8, 1997 - April 8, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEWPORT BEACH, CA

Past

February 24, 1995 - April 8, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 4, 1992 - March 27, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 26, 1989 - December 9, 1992

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

December 21, 1983 - June 6, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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
(2/24/2009)

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

Series 63

Date: 1/4/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 4/21/2004

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 4/20/2004

General Securities Sales Supervisor - General Module Examination

Current Firm

SERVICE ONE FINANCIAL

GAP FINANCIAL, INC. | SERVICE ONE FINANCIAL | SERVICE ONE FINANCE

CRD#: 149137 / SEC#:

California

Registered Investment Advisory firm - (2/24/2009 Approved)

Illinois

Registered Investment Advisory firm - (12/6/2021 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).

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Contact information

Main Address

27131 Calle Arroyo Suite 1722, San Juan Capistrano, CA 92675

Mailing Address

Phone number

(949) 305-9911

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	27
AUM (Assets Under Management)	$ 4,500,000

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

Gary A. Psotka

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Allan Psotka's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

FINANCIAL ADVISERS OF AMERICA, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 1/4/1984

Series 7

Date: 12/17/1983

Series 9

Date: 4/21/2004

Series 10

Date: 4/20/2004

Current Firm

SERVICE ONE FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SERVICE ONE FINANCIAL

TRUST BUT VERIFY

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