Gregory D. Gardner

THE GARDNER GROUP

Dallas, TX 75206

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CRD#: 2213395

Professional summary

Gregory Duane Gardner, CFP® is a registered financial advisor currently at THE GARDNER GROUP located in Dallas, Texas.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Gregory has worked at 4 firms and has passed the Series 63, Series 7, Series 6 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Duane Gardner's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1997

Experience

Current

May 23, 2011 - Present

THE GARDNER GROUP

Office #1: 5656 N. Central Expy Suite 500, Dallas, TX 75206

RIA

CRD#: 114263

Dallas, TX

Past

September 23, 1994 - August 23, 2004

LPL FINANCIAL LLC

RIA

CRD#: 6413

DALLAS, TX

Past

September 23, 1994 - August 23, 2004

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

April 13, 1992 - October 3, 1994

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

April 13, 1992 - October 3, 1994

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

Texas
(5/23/2011)

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.

Exams

State Security Law Exam

Series 63

Date: 3/27/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/29/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/9/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/12/1997

General Securities Principal Examination

Current Firm

THE GARDNER GROUP

GARDNER ASSET MANAGEMENT LLC | THE GARDNER GROUP | GREGORY D. GARDNER, CFP

CRD#: 114263 / SEC#: 801-63337

RIA

Registered Investment Advisory firm - (3/20/2012 Terminated)

Texas

Registered Investment Advisory firm - (3/1/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

5656 N. Central Expy Suite 500, Dallas, TX 75206

Mailing Address

Phone number

(214) 706-4369

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	369
AUM (Assets Under Management)	$ 111,362,827

Red Flags

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

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Gregory D. Gardner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Duane Gardner's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE GARDNER GROUP

LPL FINANCIAL LLC

LPL FINANCIAL LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/27/1992

Series 7

Date: 12/29/1994

Series 6

Date: 4/9/1992

Series 24

Date: 3/12/1997

Current Firm

THE GARDNER GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE GARDNER GROUP

TRUST BUT VERIFY

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