David Wayne Gard
Professional Summary
David Wayne Gard is a registered financial advisor currently at VISION 4 FUND DISTRIBUTORS located in Scottsdale, Arizona. David is registered as a RR (Registered Representative) and started their career in finance in 1981. David has worked at 12 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 22, Series 6, Series 24 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
45 years in the financial services industry
Current & Past Employments
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Current Firm
VISION 4 FUND DISTRIBUTORS | VISION 4 FUND DISTRIBUTORS LLC
Contact Information
Main Address
9260 E. Raintree Drive Suite 100, Scottsdale, AZ 85260Mailing Address
9260 E. Raintree Drive Suite 100, Scottsdale, AZ 85260Phone Number
(480) 634-6980Established
Delaware since 01/23/2017Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (28 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GARD, DAVID WAYNE | MANAGING DIRECTOR | 722647 |
| JOHNSON, HENRY P | MANAGING DIRECTOR | 5559118 |
| KUJALOWICZ, PAUL EDWARD | PRESIDENT/MANAGING DIRECTOR | 1020049 |
| SULLIVAN, CORNELIUS JOSEPH | MANAGING DIRECTOR | 2094448 |
| VAINISI, JEROME ARTHUR | CHIEF EXECUTIVE OFFICER | 2011056 |
| FOSTER, TODD MICHAEL | PASSIVE MEMBER | 3024634 |
| GREER, JOHN WILLIAM | PASSIVE MEMBER | 6148298 |
| LEE, BRYAN MATTHEW | PASSIVE MEMBER | 4779819 |
| QUALTERS, DONALD P | PASSIVE MEMBER | 3184519 |
| DAVIS, TAYLOR RENEE | CHIEF COMPLIANCE OFFICER | 5384424 |
| PORTWOOD, WILLIAM BOYCE | CHIEF FINANCIAL OFFICER/FINOP/PFO/POO | 4853700 |
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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.
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State Registrations and Notice Filings
(1/2/2019)
(2/26/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Oct 1981About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1980About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David Wayne Gard's CRS (Customer Relationship Summary).
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