DG
Debbie A. Gandy
PEACHCAP TAX & ADVISORY
Camarillo, CA 93010
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CRD#: 2335908
DG
Professional summary
Debbie Ann Gandy, who also goes by Debbie Ann Gandy, Debbie Ann Springer, is a registered financial advisor currently at PEACHCAP TAX & ADVISORY, LLC located in Camarillo, California and PEACHCAP SECURITIES, INC. located in Camarillo, California.
Debbie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Debbie has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Debbie Ann Gandy | Debbie Ann Springer
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.
1. Langley Pacific Partners, 220 2nd Street,#101 Langley WA, 98260, Investment related, Position: President, Started 02/2014, 170hrs/month per month, 130 hours during securities trading hours, Description: DBA in conjunction with Broker Dealer. 2.�JH Financial Group LLC, Inv. Related,�Address: 5812 Newton St, Overland Park, Kansas 66202,�Nature of Business: Investment Advisor,�Title: Managing Director/President,�Start Date: 03/2019,�170 hours/month, 130 hours/month during trading securities,�Duties:�Investment and Advisory Service. 3. Debbie's Pet Sitting Services, Not Investment Related, Address: 5812 Newton St, Overland Park, Kansas 66202, Nature of Business: Pet/House Sitting, Position: Pet/House Sitter, Start Date: 07/2024, 0-80 hours/month, 0-80 hours/month during trading hours, Duties: Pet/House Sitting
CRS (Client Relationship Summary) - RIA
Click below to view Debbie Ann Gandy'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®
NoneExperience
Current
August 31, 2018 - Present
PEACHCAP TAX & ADVISORY, LLC
Office #1: 2435 Ventura Blvd, Suite A-4, Camarillo, CA 93010RIA
CRD#: 158729
Camarillo, CA
Current
September 1, 2018 - Present
PEACHCAP SECURITIES, INC.
Office #1: 2435 Ventura Blvd, Suite F, Camarillo, CA 93010BD
CRD#: 25590
Camarillo, CA
Past
December 12, 2014 - August 23, 2018
KESTRA PRIVATE WEALTH SERVICES, LLC
RIA
CRD#: 155193
Calabasas, CA
Past
December 11, 2014 - August 23, 2018
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Calabasas, CA
Past
June 1, 2009 - December 11, 2014
MORGAN STANLEY
RIA
CRD#: 149777
OXNARD, CA
Past
June 1, 2009 - December 11, 2014
MORGAN STANLEY
BD
CRD#: 149777
OXNARD, CA
Past
July 5, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
OXNARD, CA
Past
November 26, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
OXNARD, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PT
PEACHCAP TAX & ADVISORY, LLC
INDEPENDENT WEALTH ADVISORS GROUP, LLC | PEACHTREE CAPITAL TAX AND ADVISORY, LLC | PEACHCAP TAX & ADVISORY, LLC | MILLER WEALTH ADVISORY, LLC
CRD#: 158729 / SEC#: 801-107335
RIA
Registered Investment Advisory firm - (3/1/2016 Approved)Georgia
Registered Investment Advisory firm - (5/5/2016 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(9/1/2018)
RR
Arizona(9/1/2018)
IAR
California(8/31/2018)
RR
California(9/1/2018)
RR
Florida(9/1/2018)
RR
Hawaii(9/1/2018)
RR
Idaho(9/1/2018)
IAR
Kansas(1/3/2020)
RR
Nebraska(10/8/2025)
RR
Nevada(9/1/2018)
RR
New Hampshire(9/18/2018)
RR
New York(10/23/2018)
RR
Oklahoma(9/1/2018)
RR
Oregon(1/26/2023)
RR
South Carolina(9/1/2018)
RR
Tennessee(4/5/2024)
RR
Utah(9/1/2018)
RR
Washington(12/18/2019)
RR
Wisconsin(2/1/2023)
RR
Wyoming(9/1/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PT
PEACHCAP TAX & ADVISORY, LLC
INDEPENDENT WEALTH ADVISORS GROUP, LLC | PEACHTREE CAPITAL TAX AND ADVISORY, LLC | PEACHCAP TAX & ADVISORY, LLC | MILLER WEALTH ADVISORY, LLC
CRD#: 158729 / SEC#: 801-107335
RIA
Registered Investment Advisory firm - (3/1/2016 Approved)Georgia
Registered Investment Advisory firm - (5/5/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
550 Pharr Rd. Suite 700, Atlanta, GA 30305
Mailing Address
Phone number
(404) 220-8958
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 605 |
| AUM (Assets Under Management) | $ 148,611,560 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PEACHCAP TAX & ADVISORY, LLC
CRD#: 158729Camarillo, CA 93010TRUST BUT VERIFY
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