Gary B. Gross
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 B Gross, AIF®, ChFC®, CLU®, who also goes by Gary Benjamin Gross, Gary Gross, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1994. Gary had worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2020 - September 5, 2023
PRINCIPAL SECURITIES, INC.
March 9, 2020 - September 5, 2023
PRINCIPAL SECURITIES, INC.
November 8, 2018 - March 6, 2020
SSN ADVISORY, INC.
November 8, 2018 - March 6, 2020
SECURITIES SERVICE NETWORK, LLC
March 25, 2017 - April 10, 2018
INTEGRATED ADVISORS NETWORK LLC
February 1, 2016 - December 27, 2016
PARK AVENUE SECURITIES LLC
March 31, 2015 - January 26, 2016
PARK AVENUE SECURITIES LLC
September 11, 2014 - March 31, 2015
GUARDIAN INVESTOR SERVICES LLC
February 9, 2010 - September 8, 2014
THE LEADERS GROUP, INC.
October 11, 2005 - January 14, 2010
KESTRA INVESTMENT SERVICES, LLC
January 2, 2002 - October 11, 2005
THE LEADERS GROUP, INC.
March 29, 2000 - January 3, 2002
NATIONWIDE SECURITIES, LLC
March 3, 1998 - May 17, 2000
OGILVIE SECURITY ADVISORS CORPORATION
September 2, 1997 - March 3, 1998
OSAIC FS, INC.
March 23, 1995 - August 29, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
April 19, 1994 - March 7, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 19, 1994 - March 7, 1995
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
