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GK

Gary C. Klein

Some features on this profile are disabled
CRD#: 1731164
GK

Professional summary

Gary Charles Klein was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gary is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Gary had worked at 10 firms, which includes LEGACY FINANCIAL SERVICES INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, OSAIC FA INC., GREAT WESTERN FINANCIAL SECURITIES CORPORATION, MONY SECURITIES CORPORATION, VERAVEST INVESTMENTS INC., RAYMOND-MARTIN FINANCIAL INC., SUNAMERICA SECURITIES INC., SOUTHMARK FINANCIAL SERVICES INC., V.F. MINTON SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 27, 1997 - May 2, 2001

LEGACY FINANCIAL SERVICES, INC.

BD
CRD#: 38697
PETALUMA, CA
Past

August 11, 1995 - May 14, 1997

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

August 11, 1995 - May 14, 1997

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

March 21, 1994 - October 11, 1995

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA
Past

February 23, 1993 - March 22, 1994

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

January 24, 1992 - January 28, 1993

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960
WORCESTER, MA
Past

October 2, 1991 - January 7, 1992

RAYMOND-MARTIN FINANCIAL INC.

BD
CRD#: 28492
Past

June 18, 1989 - October 3, 1989

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

May 3, 1988 - June 18, 1989

SOUTHMARK FINANCIAL SERVICES, INC.

BD
CRD#: 6518
Past

October 15, 1987 - May 11, 1988

V.F. MINTON SECURITIES, INC.

BD
CRD#: 20642

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/5/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/17/1987
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/14/1987
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/7/1988
General Securities Principal Examination

Current Firm

LF
LEGACY FINANCIAL SERVICES, INC.
LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697 / SEC#: , 8-48360

BD
Terminated by SEC on 11/28/2008
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
California since 04/27/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
REGAN HOLDING CORPORATIONHOLDING CORPORATION
CAIRNS, MICHAEL IANFINANCIAL AND OPERATIONS PRINCIPAL5409908
EAKEN, CHRISTINA LYNNVP, CHIEF COMPLIANCE OFFICER, SECRETARY4484258
PITTS, ROBERT PRESTON JRPRESIDENT/DIRECTOR2624478
REGAN, LYNDA LOUISEDIRECTOR2149722

Disclosures

Regulatory Event5
Civil Event1
Arbitration3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

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