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GK

Gary D. Kneller

Some features on this profile are disabled
CRD#: 1836439
GK

Professional summary

Gary David Kneller 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 1988. Prior to being barred, Gary had worked at 6 firms, which includes SPELMAN & CO. INC., SENTRA SECURITIES CORPORATION, IFG NETWORK SECURITIES INC., COMMONWEALTH FINANCIAL NETWORK, KAVANAUGH SECURITIES INC., MML INVESTORS SERVICES LLC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gary D Kneller

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

August 18, 1998 - September 21, 1999

SPELMAN & CO., INC.

BD
CRD#: 10232
PHOENIX, AZ
Past

September 25, 1996 - May 31, 2002

SENTRA SECURITIES CORPORATION

BD
CRD#: 10249
PHOENIX, AZ
Past

January 3, 1995 - June 3, 1996

IFG NETWORK SECURITIES, INC.

BD
CRD#: 19948
ATLANTA, GA
Past

July 6, 1992 - December 31, 1994

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
WALTHAM, MA
Past

June 29, 1989 - July 6, 1992

KAVANAUGH SECURITIES, INC.

BD
CRD#: 10606
DALLAS, TX
Past

May 31, 1988 - July 18, 1989

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

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: 6/9/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/24/1995
General Securities Principal Examination

Current Firm

S&
SPELMAN & CO., INC.
SPELMAN & CO INC | SPELMAN & CO., INCORPORATED | SPELMAN & CO., INC.

CRD#: 10232 / SEC#: , 8-26811

BD
Cancelled by SEC on 02/25/2008
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 08/17/1981
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AIG ADVISOR GROUP, INC.OWNER
BOURDAMIS, SALLY HANSONVICE PRESIDENT, BROKERAGE SERVICES1812157
CANNON, JAMES RICHARDPRESIDENT,CEO,DIRECTOR1755987
CAPRIOTTI, JACQUELYN MARIEVICE PRESIDENT, VISION 20201575021
CAVANAUGH, MARY LOUISEDIRECTOR1977110
DENBY, SUSANNE MARIEVICE PRESIDENT, CHIEF COMPLIANCE OFFICER2617514
DORFMAN, KENNETH PAULCROP2460380
FIELDS, INGER WILSONFINOP1690043
FREEMAN, BRUCE TODDASSOCIATE VICE PRESIDENT, MUNICIPAL PRINCIPAL2451499
GAUGHAN, BRIDGET MARYEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY2691949
GAUGHAN, BRIDGET MARYDIRECTOR2691949
KUBICA, LISA SUEEXECUTIVE VICE PRESIDENT, SROP, MP1098488
MCREYNOLDS, MICHAEL RONALDASSISTANT VICE PRESIDENT, INSURANCE816602
PARKER, RALPH JOELASSISTANT VICE PRESIDENT, INSURANCE2587496
RADFORD, CHRISTOPHER BLAKESENIOR VICE PRESIDENT, NATIONAL SALES1564302
ROTHSTEIN, STEVEN ELLIOTDIRECTOR1292456
ROTHSTEIN, STEVEN ELLIOTEXECUTIVE VICE PRESIDENT, CFO/TREASURER1292456
SONCHIK, RITA LYNNVICE PRESIDENT, ACCOUNTING1865389
STAUFFER, RALPH OWEN JRVICE PRESIDENT, INFORMATION TECHNOLOGY3255670

Disclosures

Regulatory Event8
Arbitration3

Red Flags

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Company Information

SPELMAN & CO., INC.

CRD#: 10232

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