Gary A. Stapp
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 Alan Stapp was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1987. Gary had worked at 16 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 26 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 1, 2020 - December 31, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 1, 2020 - December 31, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 7, 2014 - May 11, 2020
VOYA FINANCIAL ADVISORS, INC.
November 23, 2012 - May 11, 2020
VOYA FINANCIAL ADVISORS, INC.
April 26, 2010 - June 19, 2012
INTEGRITY ALLIANCE, LLC.
October 24, 2007 - November 21, 2008
INTEGRITY ALLIANCE, LLC.
December 13, 2006 - June 19, 2012
INTEGRITY ALLIANCE, LLC.
January 1, 2004 - August 16, 2006
VOYA FINANCIAL ADVISORS, INC.
September 18, 2001 - December 31, 2002
VOYA FINANCIAL ADVISORS, INC.
July 27, 2001 - March 3, 2003
CETERA ADVISORS LLC
July 17, 2001 - March 13, 2003
CETERA INVESTMENT SERVICES LLC
July 17, 2001 - March 13, 2003
GUARANTY BROKERAGE SERVICES, INC.
July 17, 2001 - March 13, 2003
BANCNORTH INVESTMENT GROUP, INC.
July 17, 2001 - March 13, 2003
BANCWEST INVESTMENT SERVICES, INC.
July 16, 2001 - February 26, 2003
VESTAX SECURITIES CORPORATION
July 3, 2001 - February 26, 2003
IFG NETWORK SECURITIES, INC.
September 7, 1999 - January 1, 2004
LOCUST STREET SECURITIES, INC.
August 31, 1998 - September 3, 1999
AMERITAS INVESTMENT COMPANY, LLC
June 12, 1997 - July 31, 1998
CETERA WEALTH SERVICES, LLC
April 1, 1987 - June 3, 1997
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 9, 1987 - October 7, 1987
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
