GS
Gary A. Sems
MGI FUNDS DISTRIBUTORS
Greenville, SC 29601
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CRD#: 2512561
GS
Professional summary
Gary Alan Sems, who also goes by Gary Alan Samf, is a registered financial professional currently at MGI FUNDS DISTRIBUTORS, LLC located in Greenville, South Carolina.
Gary is registered as a RR (Registered Representative) and started their career in finance in 1994. Gary has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Gary Alan Samf
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.
CRS (Client Relationship Summary) - BD
Click below to view Gary Alan Sems'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
July 25, 2022 - Present
MGI FUNDS DISTRIBUTORS, LLC
Office #1: 550 South Main Street Suite 525, Greenville, SC 29601BD
CRD#: 35682
Greenville, SC
Past
February 27, 2008 - August 15, 2019
MMC SECURITIES LLC
BD
CRD#: 103846
GREENVILLE, SC
Past
May 20, 2004 - January 10, 2008
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
BD
CRD#: 487
CHARLOTTE, NC
Past
October 1, 2000 - May 5, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
October 21, 1997 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
July 14, 1994 - September 16, 1997
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(4/9/2024)
RR
Alaska(4/10/2024)
RR
Arizona(4/12/2024)
RR
Arkansas(4/15/2024)
RR
California(4/4/2024)
RR
Colorado(4/8/2024)
RR
Connecticut(4/4/2024)
RR
Delaware(4/9/2024)
RR
District of Columbia(4/9/2024)
RR
Florida(4/4/2024)
RR
Georgia(4/5/2024)
RR
Hawaii(4/9/2024)
RR
Idaho(4/3/2024)
RR
Illinois(4/10/2024)
RR
Indiana(4/18/2024)
RR
Iowa(4/5/2024)
RR
Kansas(4/9/2024)
RR
Kentucky(4/10/2024)
RR
Louisiana(4/8/2024)
RR
Maine(4/8/2024)
RR
Maryland(4/12/2024)
RR
Massachusetts(4/3/2024)
RR
Michigan(4/10/2024)
RR
Minnesota(4/8/2024)
RR
Mississippi(4/9/2024)
RR
Missouri(4/4/2024)
RR
Montana(4/25/2024)
RR
Nebraska(4/3/2024)
RR
Nevada(4/8/2024)
RR
New Hampshire(4/26/2024)
RR
New Jersey(4/12/2024)
RR
New Mexico(4/9/2024)
RR
New York(4/22/2024)
RR
North Carolina(4/12/2024)
RR
North Dakota(4/8/2024)
RR
Ohio(4/3/2024)
RR
Oklahoma(4/8/2024)
RR
Oregon(4/5/2024)
RR
Pennsylvania(4/4/2024)
RR
Puerto Rico(4/11/2024)
RR
Rhode Island(4/4/2024)
RR
South Carolina(4/8/2024)
RR
South Dakota(4/9/2024)
RR
Tennessee(4/9/2024)
RR
Texas(4/4/2024)
RR
Utah(4/3/2024)
RR
Vermont(4/9/2024)
RR
Virginia(4/8/2024)
RR
Washington(4/9/2024)
RR
West Virginia(4/25/2024)
RR
Wisconsin(4/5/2024)
RR
Wyoming(4/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MF
MGI FUNDS DISTRIBUTORS, LLC
MGI FUNDS DISTRIBUTORS, INC. | OFFIT FUNDS DISTRIBUTOR, INC. | MGI FUNDS DISTRIBUTORS, LLC
CRD#: 35682 / SEC#: , 8-46960
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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
MGI FUNDS DISTRIBUTORS, LLC
CRD#: 35682Greenville, SC 29601TRUST BUT VERIFY
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