Gary J. Vick
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 Joseph Vick, CFP® was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1970. Gary had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 5, PC, Series 000 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
September 5, 2025 - November 3, 2025
CETERA INVESTMENT ADVISERS LLC
September 5, 2025 - November 3, 2025
CETERA WEALTH SERVICES, LLC
December 5, 2009 - September 5, 2025
AVANTAX ADVISORY SERVICES
August 11, 2009 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
June 1, 2009 - August 5, 2009
EAGLE STRATEGIES LLC
May 1, 2009 - August 5, 2009
NYLIFE SECURITIES LLC
April 2, 2007 - April 21, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - April 21, 2009
MORGAN STANLEY & CO. LLC
July 8, 1997 - April 2, 2007
MORGAN STANLEY DW INC.
April 21, 1970 - June 5, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
April 9, 1970 - April 2, 2007
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 000
Date: 4/9/1970
General Securities Principal ExaminationSeries 1
Date: 4/9/1970
Registered Representative ExaminationCurrent 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.
