Gary R. Gygi

GYGI CAPITAL MANAGEMENT

CEDAR HILLS, UT 84062

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CRD#: 1577760

Professional summary

Gary R Gygi is a registered financial advisor currently at GYGI CAPITAL MANAGEMENT located in Cedar Hills, Utah and UNION CAPITAL COMPANY located in Tucson, Arizona.

Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Gary has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 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.

(1) Owner of RIA firm Gygi Capital Management, clearing with TD Ameritrade. (2) INSURANCE AGENT LICENSED IN THE STATE OF UTAH AND FLORIDA, NOT INVESTMENT RELATED, OUTSIDE OF VARIABLE INSURANCE PRODUCTS CONDUCTED THROUGH MY BROKER DEALER AFFILIATION. 4674 WEST 9980 NORTH CEDAR HILLS, UT 84062.

Blog Corner

CRS (Client Relationship Summary) - RIA

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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

Current

September 23, 2009 - Present

GYGI CAPITAL MANAGEMENT

Office #1: 4674 West 9980 North, Cedar Hills, UT 84062

RIA

CRD#: 149662

CEDAR HILLS, UT

Current

January 31, 2018 - Present

UNION CAPITAL COMPANY

Office #1: 6083 E. Grant Road, Tucson, AZ 85712

RIA

CRD#: 110301

Tucson, AZ

Past

February 5, 2007 - December 31, 2017

WBB SECURITIES, LLC

RIA

CRD#: 118440

CEDAR HILLS, UT

Past

January 3, 2006 - December 31, 2017

WBB SECURITIES, LLC

CRD#: 118440

CEDAR HILLS, UT

Past

May 6, 2003 - December 31, 2005

EAGLE GATE SECURITIES, INC.

CRD#: 46959

SALT LAKE CITY, UT

Past

May 1, 2003 - December 31, 2005

EAGLE GATE SECURITIES, INC.

RIA

CRD#: 46959

SALT LAKE CITY, UT

Past

November 29, 1991 - April 28, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SALT LAKE CITY, UT

Past

April 18, 1989 - April 28, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 26, 1987 - February 9, 1990

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

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.

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

IAR

Utah
(9/23/2009)

Utah
(3/1/2018)

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

State Security Law Exam

IAR

Series 65

Date: 3/31/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/15/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/6/1998

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/21/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 6/30/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

GYGI CAPITAL MANAGEMENT

GYGI CAPITAL ASSET MANAGEMENT INC. | GYGI CAPITAL MANAGEMENT

CRD#: 149662 / SEC#:

Utah

Registered Investment Advisory firm - (9/1/2009 Approved)

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Contact information

Main Address

4674 West 9980 North, Cedar Hills, UT 84062

Mailing Address

Phone number

(801) 649-3879

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	361
AUM (Assets Under Management)	$ 28,293,437

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Gary R. Gygi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary R Gygi's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNION CAPITAL COMPANY

WBB SECURITIES, LLC

WBB SECURITIES, LLC

EAGLE GATE SECURITIES, INC.

EAGLE GATE SECURITIES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

THE STUART-JAMES COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 3/31/1994

Series 63

Date: 5/15/1989

SIE

Date: 10/1/2018

Series 3

Date: 11/6/1998

Series 7

Date: 2/21/1987

Series 8

Date: 6/30/1998

FINRA

Current Firm

GYGI CAPITAL MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GYGI CAPITAL MANAGEMENT

TRUST BUT VERIFY

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