Gary N. Wynveen
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 Neil Wynveen was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1976. Gary had worked at 8 firms and has passed the Series 63, SIE, Series 31 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 26, 2017 - December 31, 2018
FOREST SECURITIES,INC.
August 8, 2006 - December 31, 2015
PACKERLAND BROKERAGE SERVICES, INC.
November 9, 1989 - July 26, 2006
PRINCIPAL SECURITIES, INC.
July 15, 1986 - August 9, 1988
MUTUAL SERVICE CORPORATION
March 6, 1985 - December 21, 1985
CINCINNATI ANALYSTS, INC.
June 27, 1983 - December 24, 1984
SII INVESTMENTS, INC.
June 19, 1983 - April 26, 1985
AETNA LIFE INSURANCE AND ANNUITY COMPANY
June 22, 1976 - August 4, 1983
LINCOLN FINANCIAL DISTRIBUTORS, INC.
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: 6/16/1976
Registered Representative ExaminationCurrent Firm
FOREST SECURITIES,INC.
CRD#: 16255 / SEC#: , 8-33568
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIVE TRIBAL ALLIANCE, LLC | SOLE SHAREHOLDER | |
| DUNNE, MICHAEL FITZGERALD | PRESIDENT/COO/FINOP/CCO | 1676474 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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