Gary D. Davis
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 Dee Davis, who also goes by Gary Dee Davis Jr, Gary Dee Davis, Gary D Davis, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1995. Gary had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 6 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
April 29, 2019 - February 2, 2021
VANDERBILT SECURITIES, LLC
July 11, 2007 - December 5, 2008
BENEFICIAL CONCEPTS GROUP, LLC
October 23, 2002 - March 28, 2006
TRAUST SOLLUS WEALTH MANAGEMENT, LLC
January 11, 1999 - March 17, 2000
CONSECO SECURITIES, INC.
January 1, 1997 - August 21, 1997
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
November 22, 1996 - January 1, 1997
PRUCO SECURITIES, LLC.
July 14, 1995 - December 31, 1995
NEW ENGLAND SECURITIES
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
Series 7TO
Date: 4/29/2019
General Securities Representative ExaminationCurrent Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
