Christine Tong
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.
Christine Tong, who also goes by Christine Braccino, Chris Tong, was a registered financial professional .
Christine is a previously registered financial professional and started their career in finance in 1988. Christine had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2010 - January 9, 2015
TD AMERITRADE, INC.
April 6, 2005 - April 8, 2010
UBS FINANCIAL SERVICES INC.
July 1, 2003 - April 22, 2005
WELLS FARGO CLEARING SERVICES, LLC
June 16, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 1, 1997 - April 3, 1998
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 22, 1988 - January 1, 1997
PRUDENTIAL EQUITY GROUP, 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
