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Adam R. Devone
G.W. SHERWOLD ASSOCIATES,
Lake Forest, CA 92630
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CRD#: 1506645
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Professional summary
Adam Robert Devone is a registered financial advisor currently at G.W. SHERWOLD ASSOCIATES, INC located in Lake Forest, California.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Adam has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
ARD VENTURE GROUP BUSINESS CONSULTING (RELATED TO MERGER & ACQUISITION ACTIVITY WITHIN THE INSURANCE INDUSTRY) LAKE FOREST, CA NON INVESTMENT RELATED CONSULTANT 08/2022 TO PRESENT 20 HOURS PER WEEK BENEFITS EXCHANGE ALLIANCE CORPORATE INSURANCE BROKER LAKE FOREST, CA INVESTMENT RELATED SALES AGENT 07/1995 TO PRESENT 40 HOURS PER WEEK
CRS (Client Relationship Summary) - RIA
Click below to view Adam Robert Devone's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Adam Robert Devone's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 16, 2006 - Present
G.W. SHERWOLD ASSOCIATES, INC
Office #1: 22994 El Toro Rd, Lake Forest, CA 92630Office #2: 22994 El Toro Rd, Lake Forest, CA 92630RIA
BD
CRD#: 42186
Lake Forest, CA
Current
August 16, 2006 - Present
G.W. SHERWOLD ASSOCIATES, INC
Office #1: 22994 El Toro Road, Lake Forest, CA 92630Office #2: 22994 El Toro Rd, Lake Forest, CA 92630RIA
BD
CRD#: 42186
Lake Forest, CA
Past
May 24, 2002 - July 11, 2006
MICROTRADE NETWORKS, INC.
BD
CRD#: 43558
LAS VEGAS, NV
Past
January 25, 1990 - February 4, 2000
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
June 25, 1987 - October 31, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GS
G.W. SHERWOLD ASSOCIATES, INC
G.W. SHERWOLD ASSOCIATES, INC | SHERWOLD G W ASSOCIATES INC | G.W. SHERWOLD ASSOCIATES, INC.
CRD#: 42186 / SEC#: 801-118949, 8-49740
RIA
Registered Investment Advisory firm - SEC (6/19/2020 Approved)California
Registered Investment Advisory firm - SEC (7/19/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (6/19/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(8/16/2006)
IAR
California(8/16/2006)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
G.W. SHERWOLD ASSOCIATES, INC
G.W. SHERWOLD ASSOCIATES, INC | SHERWOLD G W ASSOCIATES INC | G.W. SHERWOLD ASSOCIATES, INC.
CRD#: 42186 / SEC#: 801-118949, 8-49740
RIA
Registered Investment Advisory firm - SEC (6/19/2020 Approved)California
Registered Investment Advisory firm - SEC (7/19/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (6/19/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
22994 El Toro Road, Lake Forest, CA 92630
Mailing Address
22994 El Toro Road, Lake Forest, CA 92630
Phone number
(949) 470-0700
Established
California since 04/14/1994
Firm type
Corporation
Fiscal year end
January
Firm Size
Small
# of Employees
3
SEC notice filing (3 States and Territories)
FINRA licenses (10 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHERWOLD, GARY WILLIAM | PRESIDENT & CHIEF COMPLIANCE OFFICER | 1353782 |
Regulatory assets under management
| Total Number of Accounts | 689 |
| AUM (Assets Under Management) | $ 455,358,654 |
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.
