Gary C. Horby

Some features on this profile are disabled

CRD#: 1317178

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 Casey Horby was a registered financial professional .

Gary is a previously registered financial professional and started their career in finance in 1985. Gary had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 4, 2022 - February 16, 2024

PENTEGRA DISTRIBUTORS INC.

CRD#: 26249

WHITE PLAINS, NY

Past

May 3, 2011 - August 18, 2021

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

September 28, 2005 - February 10, 2010

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

January 31, 2005 - May 16, 2005

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

January 2, 2002 - January 10, 2005

STERLING CAPITAL DISTRIBUTORS, LLC

CRD#: 103934

PORTLAND, ME

Past

February 6, 2001 - January 2, 2002

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

PORTLAND, ME

Past

April 7, 2000 - June 23, 2000

CION SECURITIES, LLC

CRD#: 15487

NEW YORK, NY

Past

November 24, 1997 - June 30, 1999

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

May 8, 1996 - March 26, 1997

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

June 20, 1988 - March 10, 1995

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

January 8, 1985 - June 27, 1988

FIDELITY DISTRIBUTORS CORPORATION

CRD#: 6848

SMITHFIELD, RI

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/5/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/8/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/7/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/27/1988

Investment Company Products/Variable Contracts Principal Examination

Current Firm

PENTEGRA DISTRIBUTORS INC.

PENTEGRA DISTRIBUTORS INC. | RETIREMENT SYSTEM DISTRIBUTORS INC.

CRD#: 26249 / SEC#: , 8-42445

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

701 Westchester Avenue Suite 320e, White Plains, NY 10604

Mailing Address

701 Westchester Avenue Suite 320e, White Plains, NY 10604

Phone number

(914) 821-9554

Established

Delaware since 05/25/1989

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PENTEGRA SERVICES INC.	PARENT COMPANY
ERNST, LARS GERHARD	DIRECTOR, VP AND CCO	5197938
FINNEGAN, KEVIN O	DIRECTOR
WIETSMA, ERIC HANS	DIRECTOR AND PRESIDENT	3167584

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gary C. Horby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

PRINCIPAL SECURITIES, INC.

STERLING CAPITAL DISTRIBUTORS, LLC

FORESIDE FUNDS DISTRIBUTORS LLC

CION SECURITIES, LLC

WOODBURY FINANCIAL SERVICES, INC.

VERAVEST INVESTMENTS, INC.

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY DISTRIBUTORS CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/1995

Series 63

Date: 1/8/1985

SIE

Date: 10/1/2018

Series 7

Date: 10/19/1999

Series 6

Date: 1/7/1985

Series 26

Date: 9/27/1988

Current Firm

PENTEGRA DISTRIBUTORS INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PENTEGRA DISTRIBUTORS INC.

TRUST BUT VERIFY

Similar Advisors