David W. Gard
Professional summary
David Wayne Gard is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Wayne Gard's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 8, 2018 - Present
VISION 4 FUND DISTRIBUTORS
Office #1: 9260 E. Raintree Drive Suite 100, Scottsdale, AZ 85260January 3, 2017 - December 31, 2018
FIRST DOMINION CAPITAL CORP.
July 31, 2014 - December 31, 2016
NORTHERN LIGHTS DISTRIBUTORS, LLC
May 8, 1996 - July 3, 2014
COREBRIDGE CAPITAL SERVICES, INC.
September 15, 1993 - April 30, 1996
NATIXIS DISTRIBUTION, LLC
September 5, 1990 - September 15, 1993
TNE INVESTMENT SERVICES CORPORATION
December 22, 1986 - May 16, 1989
CRICO SECURITIES CORPORATION
December 12, 1983 - May 16, 1989
CRICO SECURITIES CORPORATION
March 21, 1983 - November 29, 1983
FINANCIAL PLANNERS EQUITY CORPORATION
December 4, 1981 - May 10, 1983
E. F. HUTTON & COMPANY INC
February 2, 1981 - September 22, 1981
AMERICAN EXPRESS FINANCIAL CORPORATION
February 2, 1981 - September 22, 1981
AMERIPRISE FINANCIAL SERVICES, LLC
February 2, 1981 - September 22, 1981
IDS LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/2/2019)
(2/26/2019)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
VISION 4 FUND DISTRIBUTORS
CRD#: 298105 / SEC#: , 8-70175
Contact information
FINRA licenses (27 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 |
Red Flags
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