Gary K. Shears
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 Keith Shears Jr., who also goes by Gary Keith Shears Jr, Gary Keith Shears, Gary Shears, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1996. Gary had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2022 - February 18, 2026
VANGUARD ADVISERS, INC.
May 5, 2022 - February 18, 2026
VANGUARD MARKETING CORPORATION
October 17, 2018 - August 13, 2021
HARRISDIRECT LLC
October 16, 2018 - August 13, 2021
E*TRADE SECURITIES LLC
December 18, 2017 - July 3, 2018
OSAIC FA, INC.
December 15, 2017 - July 3, 2018
OSAIC FS, INC.
December 15, 2017 - July 3, 2018
OSAIC FA, INC.
September 6, 2013 - December 19, 2017
WELLS FARGO CLEARING SERVICES, LLC
October 23, 2012 - December 19, 2017
WELLS FARGO CLEARING SERVICES, LLC
October 8, 2009 - October 17, 2012
SCOTTRADE, INC.
July 15, 2009 - August 17, 2009
TD AMERITRADE, INC.
July 15, 2009 - August 17, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 4, 2007 - August 17, 2009
TD AMERITRADE, INC.
June 30, 2006 - November 8, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 2002 - March 28, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
April 16, 1998 - March 28, 2003
IDS LIFE INSURANCE COMPANY
April 16, 1998 - March 28, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
July 9, 1996 - September 25, 1996
MONY SECURITIES CORPORATION
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
