Gary Van Etten
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 Van Etten, who also goes by Gary Van Etten, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1998. Gary had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2020 - June 9, 2021
PEOPLE'S SECURITIES, INC.
March 28, 2017 - December 20, 2019
OSAIC INSTITUTIONS, INC.
September 21, 2016 - March 6, 2017
KEY INVESTMENT SERVICES LLC
September 21, 2011 - September 21, 2016
LPL FINANCIAL LLC
October 1, 2000 - May 2, 2011
WELLS FARGO CLEARING SERVICES, LLC
December 9, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
May 17, 1999 - July 19, 1999
MORGAN STANLEY DW INC.
October 17, 1998 - February 23, 1999
MM ASCEND LIFE INVESTOR SERVICES, LLC
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
Current Firm
PEOPLE'S SECURITIES, INC.
CRD#: 13704 / SEC#: 801-63122, 8-29667
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MANUFACTURERS & TRADERS TRUST COMPANY | PARENT | |
| HUNTER, JEFFREY FRANK | PRESIDENT,PRINCIPAL OPERATIONS OFFICER,DIRECTOR | 1851035 |
| KING, MARIE | CORPORATE SECRETARY | 2970483 |
| MCAFEE, MATTHEW JAMES | CHAIRMAN OF THE BOARD AND DIRECTOR | 5456594 |
| MEDREK, EMILY SUI-LING | PRINCIPAL FINANCIAL OFFICER | 3185486 |
| MURPHY, PATRICK JOHN | DIRECTOR | 7563196 |
| RUMANS, TERRI FOGARTY | CHIEF COMPLIANCE OFFICER | 2574833 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
