Gary R. Price
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 Ronald Price was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1969. Gary had worked at 6 firms and has passed the Series 63, SIE, Series 1, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2016 - June 5, 2018
HAYDEN ROYAL
May 15, 2000 - March 24, 2016
UBS FINANCIAL SERVICES INC.
May 12, 2000 - March 24, 2016
UBS FINANCIAL SERVICES INC.
September 8, 1994 - May 23, 2000
LEGG MASON WOOD WALKER, INCORPORATED
August 12, 1994 - August 31, 1994
LEGG MASON WOOD WALKER, INCORPORATED
June 2, 1986 - September 8, 1994
PRUDENTIAL EQUITY GROUP, LLC
September 12, 1978 - July 1, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 11, 1969 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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: 4/2/1965
Registered Representative ExaminationSeries 12
Date: 11/17/1969
NYSE Branch Manager ExaminationSeries 40
Date: 10/6/1969
Registered Principal ExaminationCurrent Firm
HAYDEN ROYAL
CRD#: 170037 / SEC#: 801-101516
Contact information
Regulatory assets under management
| Total Number of Accounts | 3,248 |
| AUM (Assets Under Management) | $ 596,602,721 |
Red Flags
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