Gary William Sherwold
Professional Summary
Gary William Sherwold is a registered financial advisor currently at G.W. SHERWOLD ASSOCIATES, INC located in Lake Forest, California. Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Gary has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 27 and Series 24 exams.
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.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
G.W. SHERWOLD ASSOCIATES, INC | SHERWOLD G W ASSOCIATES INC | G.W. SHERWOLD ASSOCIATES, INC.
Contact Information
Main Address
22994 El Toro Road, Lake Forest, CA 92630Mailing Address
22994 El Toro Road, Lake Forest, CA 92630Phone Number
(949) 470-0700Established
California since 04/14/1994Firm Type
CorporationFiscal Year End
JanuaryFirm Size
Small# of Employees
3SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
FINRA licenses (10 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHERWOLD, GARY WILLIAM | PRESIDENT & CHIEF COMPLIANCE OFFICER | 1353782 |
Regulatory Assets Under Management
Total Number of Accounts
786AUM (Assets Under Management)
$572,374,007Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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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Primary Firm SEC Registration
G.W. SHERWOLD ASSOCIATES, INC | SHERWOLD G W ASSOCIATES INC | G.W. SHERWOLD ASSOCIATES, INC.
State Registrations and Notice Filings
(4/14/2014)
(7/26/1994)
(6/23/1997)
(2/14/2001)
(6/24/2020)
(9/15/2016)
(7/27/2020)
(2/8/2016)
(7/24/2025)
(7/16/2020)
(7/8/2020)
(4/23/2014)
(4/25/2014)
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.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Gary William Sherwold's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gary William Sherwold's CRS (Customer Relationship Summary).
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