Gerald K. Girand

LEAR INVESTMENT MANAGEMENT

Winter Park, FL

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CRD#: 2700245

Professional summary

Gerald Keith Girand, who also goes by G. Keith Girand, Keith Girand, is a registered financial advisor currently at LEAR INVESTMENT MANAGEMENT located in Winter Park, Florida.

Gerald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Gerald has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

G. Keith Girand | Keith Girand

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gerald Keith Girand's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 6, 2023 - Present

LEAR INVESTMENT MANAGEMENT

RIA

CRD#: 174119

Winter Park, FL

Past

August 15, 2014 - November 12, 2020

ASSETMARK BROKERAGE, LLC

CRD#: 169804

CONCORD, CA

Past

December 4, 2013 - August 15, 2014

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

May 30, 2008 - November 12, 2020

ASSETMARK, INC.

RIA

CRD#: 109018

MAITLAND, FL

Past

May 13, 2008 - November 15, 2013

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

February 4, 2008 - April 4, 2008

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

May 15, 2006 - December 20, 2007

DUNHAM

RIA

CRD#: 13162

MAITLAND, FL

Past

May 15, 2006 - December 20, 2007

DUNHAM

CRD#: 13162

SAN DIEGO, CA

Past

April 28, 2005 - April 26, 2006

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

WINDSOR, CT

Past

May 29, 2002 - May 10, 2005

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Past

August 30, 1999 - July 8, 2002

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

CINCINNATI, OH

Past

January 31, 1996 - August 20, 1999

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

CINCINNATI, OH

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".

LEAR INVESTMENT MANAGEMENT

FWL INVESTMENT MANAGEMENT | LEAR INVESTMENT MANAGEMENT | FWL INVESTMENT MANAGEMENT, LLC

CRD#: 174119 / SEC#: 801-110851

RIA

Registered Investment Advisory firm - (7/21/2017 Approved)

Texas

Registered Investment Advisory firm - (7/24/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Texas
(3/6/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/8/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/7/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/16/2023

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 4/16/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/21/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/30/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LEAR INVESTMENT MANAGEMENT

FWL INVESTMENT MANAGEMENT | LEAR INVESTMENT MANAGEMENT | FWL INVESTMENT MANAGEMENT, LLC

CRD#: 174119 / SEC#: 801-110851

RIA

Registered Investment Advisory firm - (7/21/2017 Approved)

Texas

Registered Investment Advisory firm - (7/24/2017 Terminated)

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Contact information

Main Address

2911 Turtle Creek Boulevard Suite 920, Dallas, TX 75219

Mailing Address

Phone number

(214) 445-5900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (4/28/2025)

JIM WARNER PART 2B (3/25/2025)

RICK LEAR PART 2B (3/25/2025)

Regulatory assets under management

Total Number of Accounts	305
AUM (Assets Under Management)	$ 805,713,943

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.

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Gerald K. Girand

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gerald Keith Girand's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSETMARK BROKERAGE, LLC

CAPITAL BROKERAGE CORPORATION

ASSETMARK, INC.

CAPITAL BROKERAGE CORPORATION

FIRST ALLIED SECURITIES, INC.

DUNHAM

DUNHAM

VOYA INVESTMENTS DISTRIBUTOR, LLC

NATCITY INVESTMENTS, INC.

MM ASCEND LIFE INVESTOR SERVICES, LLC

MM ASCEND LIFE INVESTOR SERVICES, LLC

Primary Firm SEC Registration

LEAR INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 6/8/1999

Series 63

Date: 2/7/1996

Series 7TO

Date: 4/16/2023

Series 6TO

Date: 4/16/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/21/1997

Series 6

Date: 1/30/1996

Current Firm

LEAR INVESTMENT MANAGEMENT

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEAR INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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