Tina M. Vorgia

TOCQUEVILLE SECURITIES L.P.

New York, NY 10019

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CRD#: 1212755

Professional summary

Tina Marie Vorgia is a registered financial professional currently at TOCQUEVILLE SECURITIES L.P. located in New York, New York.

Tina is registered as a RR (Registered Representative) and started their career in finance in 1983. Tina has worked at 4 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Tina Marie Vorgia's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 21, 2002 - Present

TOCQUEVILLE SECURITIES L.P.

Office #1: 40 West 57th Street 19th Floor, New York, NY, 10019Office #2: 40 West 57th Street 19th Floor, New York, NY, 10019

CRD#: 26001

New York, NY

Past

May 12, 2000 - March 27, 2002

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

September 25, 1986 - May 12, 2000

SCHRODER & CO. INC.

CRD#: 6112

NEW YORK, NY

Past

November 22, 1983 - September 10, 1986

GRUNTAL & CO., L.L.C.

CRD#: 372

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(4/1/2002)

Exams

State Security Law Exam

Series 63

Date: 12/27/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/19/1983

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TOCQUEVILLE SECURITIES L.P.

LEPERCQ, DE NEUFLIZE/TOCQUEVILLE SECURITIES, L.P. | TOCQUEVILLE SECURITIES L.P.

CRD#: 26001 / SEC#: , 8-42223

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

40 West 57th Street 19th Floor, New York, NY, 10019

Mailing Address

40 West 57th Street 19th Floor, New York, NY, 10019

Phone number

(212) 698-0800

Established

Delaware since 01/04/1990

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TOCQUEVILLE ASSET MANAGEMENT L.P.	LIMITED PARTNER
CHUN, YUEN NA	FINOP	2219603
GRAHAM, KELSEY DUBOIS III	CHIEF COMPLIANCE OFFICER	5976494
KLEINSCHMIDT, ROBERT WILLIAM	CEO & GSP	855215
SCHLESINGER, SCOTT IRA	PRESIDENT, CHIEF OPERATING OFFICER & GSP	1252675
TOCQUEVILLE MANAGEMENT CORPORATION	GENERAL PARTNER

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Tina M. Vorgia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tina Marie Vorgia's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

SCHRODER & CO. INC.

GRUNTAL & CO., L.L.C.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/27/1983

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/19/1983

FINRA

Current Firm

TOCQUEVILLE SECURITIES L.P.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TOCQUEVILLE SECURITIES L.P.

TRUST BUT VERIFY

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