Gayle L. Engberg
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.
Gayle Lynne Engberg was a registered financial professional .
Gayle is a previously registered financial professional and started their career in finance in 1986. Gayle had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 34, Series 3, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2010 - March 1, 2018
TD AMERITRADE, INC.
March 11, 2008 - May 26, 2010
BELLEVUE CHICAGO, LLC
September 6, 2006 - March 11, 2008
MCCLENDON, MORRISON & PARTNERS, INC.
March 20, 1999 - March 11, 2008
TERRA NOVA FINANCIAL, LLC
April 1, 1998 - January 19, 1999
LASALLE FINANCIAL SERVICES, INC.
September 4, 1996 - April 1, 1998
ALLSTATE FINANCIAL SERVICES, LLC
January 23, 1995 - December 12, 1996
FOCUSED INVESTMENTS L.L.C.
November 16, 1988 - September 11, 1996
WINTRUST INVESTMENTS LLC
December 26, 1986 - November 22, 1988
AMERIPRISE ADVISOR SERVICES, 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 8
Date: 12/15/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 83 |
| Civil Event | 1 |
| Arbitration | 144 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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