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GS

Gary E. Stevens

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CRD#: 862409
GS

Professional summary

Gary Earll Stevens was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gary is a previously registered financial professional and started their career in finance in 1979. Prior to being barred, Gary had worked at 4 firms, which includes AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN INC., AMERICAN EXPRESS FINANCIAL CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gary E Stevens

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

July 10, 1986 - December 24, 1986

AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.

BD
CRD#: 11176
Past

February 5, 1979 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

BD
CRD#: 6320
Past

February 5, 1979 - May 10, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

February 5, 1979 - September 19, 2002

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN

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.

Exams

State Security Law Exam
RR
Series 63
Date: 5/27/1992
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/6/1992
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/18/1986
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 1/29/1979
Registered Representative Examination

Current Firm

AE
AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.
AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC. | IDS SECURITIES CORPORATION | IDS SECURITIES CORP.

CRD#: 11176 / SEC#: , 8-12550

BD
Terminated by SEC on 04/11/2000
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/25/1965
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BREYER, KARL JOHANNDIRECTOR1558002
CURRAN, COLLEEN MEXECUTIVE REPRESENTATIVE
EID, GORDON LYLECCO
FORSBERG, DOUGLAS LEEDIRECTOR, PRESIDENT & CEO211410
GALLUS, PETER ARTHURCFO1143914
WISTRAND, EDWIN MELANDCHIEF LEGAL OFFICER

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.

Company Information

AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.

CRD#: 11176

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