Gary R. Sprunger
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 Randall Sprunger was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1970. Gary had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2011 - February 7, 2020
MODERN CAPITAL ADVISORS, LLC
May 6, 2011 - October 27, 2011
ONE CAPITAL MANAGEMENT, LLC
April 25, 2011 - February 7, 2020
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
August 20, 2009 - April 25, 2011
FIRST ALLIED SECURITIES, INC.
July 31, 2009 - April 25, 2011
FIRST ALLIED SECURITIES, INC.
January 14, 2009 - February 11, 2009
RIDGEWAY & CONGER, INC.
January 7, 1994 - December 31, 2008
ADVANTAGE CAPITAL CORPORATION
July 8, 1992 - December 31, 2008
ADVANTAGE CAPITAL CORPORATION
July 12, 1990 - May 22, 1992
THE HOUSE OF SECURITIES COMPANY
July 11, 1989 - June 15, 1990
PLANNED INVESTMENTS INC.
April 2, 1976 - May 19, 1988
ADVANTAGE CAPITAL CORPORATION
September 2, 1975 - February 23, 1976
LEGG MASON WOOD WALKER, INCORPORATED
June 10, 1975 - September 30, 1975
AMERICAN GENERAL CAPITAL DIST INC
August 6, 1974 - October 29, 1974
INVESTMENT AND SECURITIES, INC.
December 2, 1973 - May 7, 1975
THE HOUSE OF SECURITIES COMPANY
June 25, 1973 - December 18, 1978
SHENANDOAH EQUITY SERVICES, INCORPORATED
September 12, 1972 - June 4, 1973
BUSH AND COMPANY
June 6, 1972 - December 19, 1973
CAPITAL DEVELOPMENT ASSOCIATES, INC.
November 18, 1970 - July 21, 1972
BALTIMORE SECURITIES COMPANY
Primary Firm SEC Registration
MODERN CAPITAL ADVISORS, LLC
CRD#: 131117 / SEC#: 801-72611
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: 6/25/1969
Registered Representative ExaminationCurrent Firm
MODERN CAPITAL ADVISORS, LLC
CRD#: 131117 / SEC#: 801-72611
Contact information
SEC notice filing (37 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,561 |
| AUM (Assets Under Management) | $ 285,401,221 |
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.
