Gary S. Dick
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 Stephen Dick, who also goes by Gary S Dick, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1979. Gary had worked at 3 firms and has passed the Series 63, Series 1, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 1985 - January 26, 2012
AUTO CLUB FUNDS, INC.
July 17, 1979 - April 20, 1981
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 17, 1979 - November 14, 1983
SIGNATOR INVESTORS, 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: 7/9/1979
Registered Representative ExaminationCurrent Firm
AUTO CLUB FUNDS, INC.
CRD#: 10580 / SEC#: , 8-27617
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
