Tad R. Gygi
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.
Tad Ralph Gygi, who also goes by Tad Gygi, was a registered financial professional .
Tad is a previously registered financial professional and started their career in finance in 1990. Tad had worked at 4 firms and has passed the Series 65, Series 63, SIE 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
February 18, 2015 - October 1, 2015
TERRANOVA CAPITAL EQUITIES, INC
May 6, 2011 - October 11, 2012
WBB SECURITIES, LLC
December 6, 2010 - October 11, 2012
WBB SECURITIES, LLC
August 8, 2000 - July 21, 2010
MML INVESTORS SERVICES, LLC
March 1, 1996 - July 21, 2010
MML INVESTORS SERVICES, LLC
July 18, 1990 - March 1, 1996
G. R. PHELPS & CO., 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
Current Firm
TERRANOVA CAPITAL EQUITIES, INC
CRD#: 45097 / SEC#: , 8-50973
Contact information
FINRA licenses (39 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
