AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
GP

Gary E. Phifer

Some features on this profile are disabled
CRD#: 2249600
GP

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 Edward Phifer III, who also goes by Garwood Edward Phifer III, Gary E Phifer, was a registered financial professional .

Gary is a previously registered financial professional and started their career in finance in 1992. Gary had worked at 9 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Garwood Edward Phifer Iii | Gary E Phifer

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 10, 2015 - September 28, 2018

AUGUSTAR DISTRIBUTORS, INC.

BD
CRD#: 41081
CINCINNATI, OH
Past

June 1, 2009 - March 25, 2015

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
CINCINNATI, OH
Past

March 7, 2008 - December 2, 2008

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

September 6, 2007 - February 11, 2008

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
NEW YORK, NY
Past

April 28, 2004 - September 11, 2007

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
DRESHER, PA
Past

December 13, 2002 - April 28, 2004

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

July 30, 2002 - December 13, 2002

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

June 17, 1999 - October 23, 2001

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC
Past

May 12, 1998 - March 19, 1999

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

June 13, 1997 - April 1, 1998

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC
Past

September 24, 1996 - December 24, 1996

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

September 23, 1993 - September 29, 1995

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

July 13, 1992 - September 29, 1995

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY

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: 10/29/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/28/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/10/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/28/1994
Investment Company Products/Variable Contracts Principal Examination

Current Firm

AD
AUGUSTAR DISTRIBUTORS, INC.
AUGUSTAR DISTRIBUTORS, INC. | OHIO NATIONAL EQUITIES, INC.

CRD#: 41081 / SEC#: , 8-49296

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
One Financial Way, Cincinnati, OH 45242
Mailing Address
P.o. Box 237, Cincinnati, OH 45201-0371
Phone number
(513) 797-3443
Established
Ohio since 01/17/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (42 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CONSTELLATION INSURANCE, INC.PARENT COMPANY
JACK, CLIFFORD JAMESDIRECTOR1398005
SOCOL, MARC ALLANPRESIDENT & DIRECTOR2761094
VANHOY, ANDREW JOSEPHDIRECTOR & CHIEF COMPLIANCE OFFICER3012299

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.

Company Information

AUGUSTAR DISTRIBUTORS, INC.

CRD#: 41081

TRUST BUT VERIFY

Monitor Gary Phifer

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics