Gary W. Koontz
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 Walter Koontz, who also goes by Gary W Koontz, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1970. Gary had worked at 8 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 1989 - May 7, 2012
SUNSET FINANCIAL SERVICES, INC.
January 19, 1989 - October 26, 1989
U.S. SECURITIES CLEARING CORP.
January 25, 1988 - November 2, 1988
CENTURY INVESTORS OF AMERICA, INC.
May 6, 1987 - February 1, 1988
PFG SECURITIES, INC.
June 5, 1986 - May 20, 1987
NATIONAL SECURITIES CORPORATION
April 8, 1985 - July 8, 1986
WINDERMERE SECURITIES CORPORATION
April 20, 1983 - April 8, 1985
LYNOTT SECURITIES, INC.
October 12, 1982 - March 15, 1983
NYLIFE SECURITIES LLC
July 9, 1970 - November 27, 1979
NYLIFE SECURITIES LLC
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 1
Date: 6/23/1970
Registered Representative ExaminationCurrent Firm
SUNSET FINANCIAL SERVICES, INC.
CRD#: 3538 / SEC#: 801-71636, 8-14148
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KANSAS CITY LIFE INSURANCE COMPANY, INC. | PARENT COMPANY - OWNER | |
| ALVEY, DANIEL D'ANGELO | FINOP | 8114927 |
| BIXBY, ROBERT PHILIP | DIRECTOR | 2109740 |
| BIXBY, WALTER EDWIN III | DIRECTOR | 2687392 |
| BRANDT, JANICE LEE | VICE PRESIDENT - CHIEF COMPLIANCE OFFICER BROKER/DEALER | 3232016 |
| DENNEY, SUSANNA JAYNE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2467520 |
| LAIRD, DAVID ARNOLD | DIRECTOR | |
| MASON, ALAN CRAIG JR | SECRETARY, DIRECTOR | |
| MILTON, MARK ALAN | DIRECTOR | 2155553 |
| NOGALSKI, JOHN LOUIS | VICE PRESIDENT, TAXES | 8083220 |
| PEIL, KRISTEN MICHELLE | AVP | 2438293 |
| PIEPER, JENNIFER KAY | VICE PRESIDENT, TREASURER & CONTROLLER | 7832157 |
| ULLOM, KELLY TODD | PRESIDENT / DIRECTOR | 1569201 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 2 |
Red Flags
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