Gary L. Dick
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 Leon Dick was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1987. Gary had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2018 - April 30, 2020
AVANTAX INVESTMENT SERVICES, INC.
May 13, 2016 - August 10, 2018
SIGNATOR INVESTORS, INC.
March 15, 2000 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 7, 1996 - March 16, 2000
HORNOR, TOWNSEND & KENT, LLC
August 16, 1994 - January 1, 1996
SECURITIES AMERICA, INC.
January 27, 1994 - August 10, 1994
IDS LIFE INSURANCE COMPANY
January 27, 1994 - August 10, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
February 5, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 5, 1991 - February 3, 1994
PRUCO SECURITIES, LLC.
June 18, 1987 - October 4, 1990
PRUCO SECURITIES, LLC.
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
AVANTAX INVESTMENT SERVICES, INC.
CRD#: 13686 / SEC#: , 8-29533
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
| Bond | 1 |
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.
