Gary M. Stefanski
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 Matthew Stefanski, who also goes by Gary Stefanski, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1985. Gary had worked at 18 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2015 - March 10, 2016
CUSO FINANCIAL SERVICES, L.P.
May 6, 2015 - March 10, 2016
CUSO FINANCIAL SERVICES, L.P.
March 17, 2015 - May 4, 2015
INVEST FINANCIAL CORPORATION
July 23, 2014 - May 4, 2015
INVEST FINANCIAL CORPORATION
August 9, 2012 - August 14, 2012
CABOT LODGE SECURITIES LLC
February 29, 2012 - June 21, 2012
CL WEALTH MANAGEMENT LLC
February 15, 2012 - June 21, 2012
ALLIED BEACON PARTNERS, INC.
August 5, 2011 - December 21, 2011
WADDELL & REED
July 18, 2011 - December 21, 2011
WADDELL & REED
July 1, 2004 - November 18, 2010
DAVID LERNER ASSOCIATES, INC.
May 3, 2002 - November 15, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 20, 2001 - November 15, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 1998 - September 13, 2001
PNC BROKERAGE CORP
June 10, 1996 - June 25, 1998
FISERV INVESTOR SERVICES, INC.
July 19, 1995 - December 22, 1995
WINDSOR STREET CAPITAL, LP
January 6, 1994 - September 12, 1994
CONSECO SECURITIES, INC.
June 17, 1993 - December 20, 1993
HIMCO DISTRIBUTION SERVICES COMPANY
April 23, 1993 - October 18, 1994
CHEMICAL INVESTOR SERVICES, INC.
December 3, 1990 - April 16, 1993
WALL STREET ACCESS
April 17, 1989 - December 6, 1990
GRUNTAL & CO., L.L.C.
May 15, 1986 - May 2, 1989
MABON, NUGENT & CO.
August 6, 1985 - March 7, 1986
PHILIPS, APPEL & WALDEN, INC.
Primary Firm SEC Registration
CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
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
CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,354 |
| AUM (Assets Under Management) | $ 5,378,345,125 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
