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GS

Gary W. Stratton

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CRD#: 707452
GS

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 Wayne Stratton was a registered financial professional .

Gary is a previously registered financial professional and started their career in finance in 1980. Gary had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 8, 2014 - October 23, 2017

GIRARD SECURITIES, INC.

RIA
CRD#: 18697
LAS VEGAS, NV
Past

September 8, 2014 - October 23, 2017

GIRARD SECURITIES, INC.

BD
CRD#: 18697
LAS VEGAS, NV
Past

July 2, 2012 - July 11, 2014

FIRST ALLIED ADVISORY SERVICES, INC.

RIA
CRD#: 137888
LAS VEGAS, NV
Past

September 21, 2001 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA
CRD#: 32444
LAS VEGAS, NV
Past

January 18, 2001 - July 2, 2014

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
LAS VEGAS, NV
Past

August 5, 1997 - January 18, 2001

SIGNAL SECURITIES, INC.

BD
CRD#: 15916
FORT WORTH, TX
Past

June 23, 1995 - August 20, 1997

T.L. GROUP, INC.

BD
CRD#: 22097
FORT WORTH, TX
Past

June 13, 1991 - September 27, 1995

T.L. SMITH SECURITIES

BD
CRD#: 17978
Past

September 25, 1989 - September 28, 1990

USA CAPITAL

BD
CRD#: 16634
Past

July 14, 1987 - October 4, 1989

RAUSCHER PIERCE REFSNES, INC.

BD
CRD#: 6663
DALLAS, TX
Past

March 22, 1985 - April 19, 1986

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

April 24, 1980 - March 22, 1985

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/5/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/3/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/23/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/22/2001
General Securities Principal Examination

Current Firm

GS
GIRARD SECURITIES, INC.
ALLRED RETIREMENT SERVICES | WILLIAM PRITCHARD | VIDA WEALTH PARTNERS | UNITED CAPITAL FINANCIAL ADVISORS | UCFA-FT. LAUDERDALE | UCFA ILLINOIS | UCFA HARVEST GROUP | UCFA - FORT COLLINS | UCFA | TOROSO FINANCIAL GROUP, LLP | TM WEALTH MANAGEMENT SYSTEMS | STRATTON INVESTORS FINANCIAL SERVICES | SNYDER FINANCIAL SERVICES | SILVERBERG & COOK, INC | SHANLEY & ASSOCIATES | SELBY DIAMOND ENTERPRISES, INC. | SCHEER WEALTH | SB WEALTH STRATEGIES | ROLOFF WEALTH MANAGEMENT, INC. | RINCON PACIFIC MANAGEMENT INC. | RETIREMENT SOLUTIONS | RETIREMENT MONEY MANAGEMENT | PROFESSIONAL ADVISORY SERVICES, INC | PROFESSIONAL ADVISORY SERVICES | PREMIER ADVISORS | PEAK FINANCIAL SOLUTIONS | PACIFIC WEALTH MANAGEMENT | PACIFIC CAPITAL ASSOCIATES | OSWALD WEALTH | NEWCASTLE FINANCIAL ADVISORS, INC | MPC ADVISORS | MILITELLO WEALTH MANAGEMENT, LLC | MEYERS FINANCIAL | LEGACY WEALTH MANAGEMENT | LEGACY FINANCIAL ADVISORS | KOCHAN FINANCIAL GROUP | KESTING FINANCIAL SERVICES | HOFFMAN & ASSOCIATES, INC | HARDWORKING CAPITAL | HAP NIELSEN INVESTMENTS | GUY J. LANDOLFI, CPA | GRS FINANCIAL GROUP | GRAND PRAIRIE FINANCIAL | GLEASON FINANCIAL | GIRARD SECURITIES, INC. | FOCUS FINANCIAL GROUP INC. | FINANCIAL PLANNING AND MANAGEMENT CORP. | DE GROOTE FINANCIAL GROUP | COOLEY AND LABAS FINANCIAL ADVISORS | BRIDGE WEALTH MANAGEMENT | BARTNICK FINANCIAL | ASSET ONE LLC

CRD#: 18697 / SEC#: 801-61470, 8-36920

BD
Terminated by SEC on 01/12/2018
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Contact information

Main Address
9560 Waples Street Suite B, San Diego, CA 92121
Mailing Address
Phone number
Established
California since 04/19/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

GIRARD SECURITIES WRAP FEE BROCHURE 20170331 (3/31/2017)
PART 2A FORM ADV 20170331 FIRM BROCHURE (3/31/2017)

Direct owners and executive officers

NamePositionCRD#
CHARGERS ACQUISITION LLCSHAREHOLDER
BALLARD, JAMES DAVIDVP1714327
BARRAGAN, JOHN ARTHUR IIIPRESIDENT/COO2941942
GRAHAM, LUANNE MARIEADVISORY CCO2310126
HARRISON, BRETT LAMARDIRECTOR4032238
JACOBSEN, BRYAN KB-D CCO, SECRETARY3055957
KLICMAN, SHIRLEY ANNEVP1771713
OLSON, GREGORY ALANASST. SECRETARY2692482
ROGERS, JASON DYLANSENIOR EXECUTIVE VP2641674
SHERROD, TRACI LYNNAVP4321192
SMILEY, STANLEY ROBERTVP3004604
TIETJEN, MARGARET SUSANCHIEF EXECUTIVE OFFICER/ DIRECTOR1294862

Disclosures

Regulatory Event2

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.

Company Information

GIRARD SECURITIES, INC.

CRD#: 18697

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