Gary L. Yeck
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 Lee Yeck was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1969. Gary had worked at 8 firms and has passed the Series 65, Series 63, SIE, 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
November 5, 2018 - April 20, 2020
COUNCIL OAK WEALTH ADVISORS
January 16, 2009 - November 14, 2018
UBS FINANCIAL SERVICES INC.
January 16, 2009 - November 14, 2018
UBS FINANCIAL SERVICES INC.
June 7, 1991 - January 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 19, 1990 - January 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 1985 - November 20, 1990
CITIGROUP GLOBAL MARKETS INC.
January 31, 1980 - November 21, 1985
UBS FINANCIAL SERVICES INC.
June 25, 1976 - July 24, 1976
BACHE HALSEY STUART INC.
June 11, 1976 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
May 11, 1971 - June 25, 1975
BACHE & CO INCORPORATED
January 27, 1969 - April 29, 1971
FITZGERALD, DEARMAN & ROBERTS, INC.
Primary Firm SEC Registration
COUNCIL OAK WEALTH ADVISORS
CRD#: 297180 / SEC#: 801-113403
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
PC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 10/28/1968
Registered Representative ExaminationSeries 8
Date: 1/9/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
COUNCIL OAK WEALTH ADVISORS
CRD#: 297180 / SEC#: 801-113403
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 890 |
| AUM (Assets Under Management) | $ 435,179,814 |
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.
