Gary D. Rubin
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.
Gary Douglas Rubin, CFP® was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1984. Gary had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2012 - January 27, 2023
SCHWAB WEALTH ADVISORY, INC.
June 28, 2011 - December 31, 2011
CHARLES SCHWAB & CO., INC.
June 28, 2011 - January 27, 2023
CHARLES SCHWAB & CO., INC.
May 21, 2010 - May 20, 2011
GLOBAL PERSPECTIVES ASSET MANAGEMENT, LLC
April 1, 2003 - February 22, 2010
CHARLES SCHWAB & CO., INC.
April 9, 1991 - February 22, 2010
CHARLES SCHWAB & CO., INC.
October 3, 1988 - June 12, 1990
DOMINICK & DICKERMAN LLC
September 1, 1987 - October 4, 1988
DOMIK CORP.
June 5, 1987 - September 11, 1987
JSC SECURITIES, INC.
December 19, 1984 - May 15, 1986
MORGAN STANLEY DW INC.
March 22, 1984 - December 20, 1984
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 11/8/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
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.
