Gary E. Shuford

WEALTHSPIRE RETIREMENT ADVISORY

Charlotte, NC 28211

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CRD#: 4596981

Professional summary

Gary Edward Shuford II is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Charlotte, North Carolina and KESTRA INVESTMENT SERVICES, LLC located in Charlotte, North Carolina.

Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Gary has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Business Name: NFP RETIREMENT POSITION: SVP NATURE: Investment advisory services through an independent outside RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 25 START DATE: 01/01/2024 ADDRESS: 120 Vantis Dr., #400, Aliso Viejo CA 92656, United States DESCRIPTION: Produce and oversee retirement consulting business under NFP Retirment RIA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Edward Shuford II's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 23, 2023 - Present

WEALTHSPIRE RETIREMENT ADVISORY

Office #1: 1901 Roxborough Road Ste 300, Charlotte, NC 28211

RIA

CRD#: 121254

Charlotte, NC

Current

May 2, 2012 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 1901 Roxborough Road Ste 300, Charlotte, NC 28211

CRD#: 42046

Charlotte, NC

Past

April 19, 2016 - June 21, 2023

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

CHARLOTTE, NC

Past

May 2, 2012 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

AUSTIN, TX

Past

April 6, 2009 - May 31, 2012

FINTRUST INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 139887

GREENVILLE, SC

Past

November 12, 2008 - May 31, 2012

FINTRUST BROKERAGE SERVICES, LLC

CRD#: 41608

CHARLOTTE, NC

Past

January 9, 2008 - November 17, 2008

AMERICAN SECURITIES GROUP, INC.

CRD#: 43730

GREENVILLE, SC

Past

April 5, 2007 - January 8, 2008

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

February 14, 2007 - April 5, 2007

PFIC SECURITIES CORPORATION

CRD#: 34941

FRANKLIN, TN

Past

November 10, 2004 - March 30, 2005

SOUTHTRUST SECURITIES, LLC

CRD#: 17922

BIRMINGHAM, AL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Georgia
(5/2/2012)

IAR

Georgia
(6/27/2023)

Indiana
(5/3/2023)

North Carolina
(5/2/2012)

IAR

North Carolina
(6/23/2023)

South Carolina
(5/2/2012)

IAR

South Carolina
(6/26/2023)

Virginia
(2/4/2014)

Wisconsin
(4/29/2013)

IAR

Wisconsin
(6/27/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/11/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/9/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

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Contact information

Main Address

120 Vantis Suite 400, Aliso Viejo, CA 92656

Mailing Address

Phone number

(949) 460-9898

Established

Firm type

Fiscal year end

# of Employees

240

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (11/20/2025)

Regulatory assets under management

Total Number of Accounts	9,394
AUM (Assets Under Management)	$ 118,031,461,765

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.

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Gary E. Shuford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Edward Shuford II's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

FINTRUST INVESTMENT ADVISORY SERVICES, LLC

FINTRUST BROKERAGE SERVICES, LLC

AMERICAN SECURITIES GROUP, INC.

MORGAN KEEGAN & COMPANY, LLC

PFIC SECURITIES CORPORATION

SOUTHTRUST SECURITIES, LLC

Primary Firm SEC Registration

WEALTHSPIRE RETIREMENT ADVISORY

State Registrations and Notice Filings

Exams

Series 66

Date: 6/11/2007

SIE

Date: 10/1/2018

Series 7

Date: 11/9/2004

FINRA

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPIRE RETIREMENT ADVISORY

TRUST BUT VERIFY

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