Vonciel M. Gaines
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.
Vonciel Mcclain Gaines was a registered financial professional .
Vonciel is a previously registered financial professional and started their career in finance in 1983. Vonciel had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2002 - May 16, 2002
WATERSTONE FINANCIAL GROUP, INC.
September 25, 1998 - December 31, 2001
OAK BROOK SECURITIES CORP.
January 5, 1994 - October 2, 1998
COUSINS SECURITIES CORPORATION
July 14, 1987 - January 1, 1994
OAK BROOK SECURITIES CORP.
April 21, 1987 - July 15, 1987
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
June 17, 1983 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
June 17, 1983 - February 24, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
WATERSTONE FINANCIAL GROUP, INC.
CRD#: 10078 / SEC#: , 8-44243
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL INDEPENDENT ADVISOR SERVICE GROUP, LLC | OWNER | |
| BROWN, STEPHANIE LEIGH | DIRECTOR | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER | 1821773 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VALTAIRO, PHILLIP BUHAY | CFO/FINOP | 4481362 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 1 |
| 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.
