Gary L. Anderson
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 Lee Anderson, who also goes by Gary L Anderson, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1978. Gary had worked at 9 firms and has passed the Series 7 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 19, 1994 - October 30, 2000
AMERICAN INVESTORS COMPANY
July 6, 1992 - December 1, 1994
COMMONWEALTH FINANCIAL NETWORK
September 3, 1991 - July 6, 1992
KAVANAUGH SECURITIES, INC.
December 7, 1989 - September 10, 1991
STANFORD INVESTMENT GROUP, INC.
June 5, 1987 - December 12, 1989
CERTIFIED EQUITIES INCORPORATED
April 11, 1986 - May 8, 1987
STANFORD INVESTMENT GROUP, INC.
November 1, 1982 - April 14, 1986
BMI FINANCIAL GROUP
September 9, 1982 - November 18, 1982
PROTECTED INVESTORS OF AMERICA
December 17, 1981 - October 20, 1982
CALIFORNIA HARTLAND SECURITIES
September 11, 1979 - September 7, 1982
BMI FINANCIAL GROUP
January 24, 1978 - January 11, 1979
CAPITAL CONCEPTS INVESTMENT CORP.
Primary Firm SEC Registration
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
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: 1/19/1978
Registered Representative ExaminationCurrent Firm
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,530 |
| AUM (Assets Under Management) | $ 578,062,390 |
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
