Gary T. Stringfield
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 Todd Stringfield was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1999. Gary had worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - May 3, 2018
CETERA INVESTMENT ADVISERS LLC
March 15, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
March 14, 2013 - May 3, 2018
CETERA INVESTMENT SERVICES LLC
June 27, 2008 - December 13, 2012
CUNA BROKERAGE SERVICES, INC.
January 11, 2006 - December 13, 2012
CUNA BROKERAGE SERVICES, INC.
July 5, 2005 - December 19, 2005
TRUIST INVESTMENT SERVICES, INC.
January 9, 2003 - March 3, 2005
WAMU INVESTMENTS, INC.
November 2, 2001 - January 2, 2003
CAL FED INVESTMENTS
June 22, 2000 - October 17, 2001
WAMU INVESTMENTS, INC.
July 15, 1999 - June 6, 2000
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
