Charles E. Gasaway

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CRD#: 722081

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.

Charles Edward Gasaway JR, who also goes by Ed Gasaway, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1981. Charles had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ed Gasaway

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

February 9, 2007 - April 26, 2023

GASAWAY INVESTMENT ADVISORS, INC.

RIA

CRD#: 123807

KALAMAZOO, MI

Past

May 4, 1990 - November 21, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

PORTAGE, MI

Past

January 6, 1987 - May 7, 1990

RONEY & CO. L.L.C.

CRD#: 900

DETROIT, MI

Past

April 4, 1983 - January 7, 1987

A. G. EDWARDS & SONS, INC.

CRD#: 4

Past

January 19, 1981 - April 12, 1983

BMMG CAPITAL CORP.

CRD#: 7304

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".

GASAWAY INVESTMENT ADVISORS, INC.

ALLIANCE RETIREMENT PLAN SOLUTIONS | GASAWAY INVESTMENT ADVISORS, INC. | GASAWAY & ASSOCIATES, INC.

CRD#: 123807 / SEC#: 801-121052

RIA

Registered Investment Advisory firm - (5/3/2021 Approved)

Florida

Registered Investment Advisory firm - (9/3/2021 Terminated)

Illinois

Registered Investment Advisory firm - (9/29/2021 Terminated)

Michigan

Registered Investment Advisory firm - (9/3/2021 Terminated)

Texas

Registered Investment Advisory firm - (9/3/2021 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/26/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/2/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/17/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/22/1988

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 2/27/1987

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

GASAWAY INVESTMENT ADVISORS, INC.

ALLIANCE RETIREMENT PLAN SOLUTIONS | GASAWAY INVESTMENT ADVISORS, INC. | GASAWAY & ASSOCIATES, INC.

CRD#: 123807 / SEC#: 801-121052

RIA

Registered Investment Advisory firm - (5/3/2021 Approved)

Florida

Registered Investment Advisory firm - (9/3/2021 Terminated)

Illinois

Registered Investment Advisory firm - (9/29/2021 Terminated)

Michigan

Registered Investment Advisory firm - (9/3/2021 Terminated)

Texas

Registered Investment Advisory firm - (9/3/2021 Terminated)

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Contact information

Main Address

7110 Stadium Drive, Kalamazoo, MI 49009

Mailing Address

P.o. Box 10, Oshtemo, MI 49077

Phone number

(269) 324-0080

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

08 07 2025 GIA FORM ADV PART 2A AND 2B FINAL (8/7/2025)

Regulatory assets under management

Total Number of Accounts	713
AUM (Assets Under Management)	$ 162,423,538

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/05/2024	Cover Page	Report
03/08/2024	Cover Page	Report
02/17/2023	Cover Page	Report

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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Firm Stability Insights

Charles E. Gasaway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

RONEY & CO. L.L.C.

A. G. EDWARDS & SONS, INC.

BMMG CAPITAL CORP.

Primary Firm SEC Registration

GASAWAY INVESTMENT ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/26/2016

Series 63

Date: 2/2/1981

Series 7

Date: 1/17/1981

Series 24

Date: 4/22/1988

Series 8

Date: 2/27/1987

Current Firm

GASAWAY INVESTMENT ADVISORS, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GASAWAY INVESTMENT ADVISORS, INC.

TRUST BUT VERIFY

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