Gary W. Pitzer
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 Wayne Pitzer was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1970. Gary had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 16, Series 5, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2016 - December 31, 2018
MOLONEY SECURITIES ASSET MANAGEMENT LLC
January 27, 2016 - December 31, 2016
MOLONEY INVESTMENT ADVISORY LLC
May 14, 2002 - April 27, 2016
MOLONEY SECURITIES CO., INC.
April 20, 1999 - December 31, 2018
MOLONEY SECURITIES CO., INC.
July 7, 1993 - April 20, 1999
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 5, 1991 - July 8, 1993
OPPENHEIMER & CO. INC.
March 14, 1991 - November 5, 1991
NEW ENGLAND SECURITIES
July 6, 1990 - January 24, 1991
MML INVESTORS SERVICES, LLC
May 6, 1988 - March 15, 1990
BLUNT ELLIS & LOEWI INCORPORATED
February 1, 1988 - April 23, 1988
ROWLAND, SIMON & CO.
August 21, 1981 - February 1, 1988
R. ROWLAND & CO., INCORPORATED
January 29, 1979 - August 23, 1981
LEHMAN BROTHERS INC.
September 23, 1975 - January 26, 1979
REINHOLDT & GARDNER INCORPORATED
September 4, 1970 - October 26, 1975
DARPEL EQUITIES, INC.
Primary Firm SEC Registration
MOLONEY SECURITIES ASSET MANAGEMENT LLC
CRD#: 282448 / SEC#: 801-107149
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 5
Date: 10/18/1983
Interest Rate Options ExaminationPC
Date: 6/1/1977
AMEX Put and Call ExamSeries 1
Date: 3/27/1969
Registered Representative ExaminationSeries 8
Date: 4/8/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MOLONEY SECURITIES ASSET MANAGEMENT LLC
CRD#: 282448 / SEC#: 801-107149
Contact information
SEC notice filing (50 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,390 |
| AUM (Assets Under Management) | $ 1,389,405,894 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/14/2025 | ||
| 12/20/2023 | ||
| 12/22/2022 |
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.
