Emory J. Gary
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.
Emory Judson Gary JR, who also goes by Ej Gary Jr, Emory Judson Gary, was a registered financial professional .
Emory is a previously registered financial professional and started their career in finance in 1970. Emory had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 51 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
June 2, 2017 - June 7, 2019
LPL FINANCIAL LLC
June 2, 2017 - June 7, 2019
LPL FINANCIAL LLC
October 22, 2003 - June 2, 2017
AMERICAN PORTFOLIOS ADVISORS, INC
October 21, 2002 - June 2, 2017
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
June 14, 1996 - October 28, 2002
NATHAN & LEWIS SECURITIES, INC.
February 16, 1994 - June 19, 1996
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
May 1, 1993 - March 15, 1994
PRUDENTIAL RETIREMENT SERVICES, INC.
June 1, 1992 - May 1, 1993
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 6, 1991 - October 13, 1993
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
February 8, 1988 - June 1, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 18, 1982 - January 21, 1986
PRUCO SECURITIES, LLC.
March 19, 1980 - March 8, 1994
ALEXANDER INVESTMENT SERVICES CO.
January 14, 1977 - July 26, 1989
PROVIDENT MARKETING CORPORATION
June 15, 1976 - September 25, 1977
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 27, 1975 - January 18, 1986
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 18, 1970 - January 14, 1977
PLA SECURITIES CORPORATION
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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: 6/12/1970
Registered Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
