Gale M. Kirby
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.
Gale Marie Kirby, who also goes by Gale Domaszek, was a registered financial professional .
Gale is a previously registered financial professional and started their career in finance in 1989. Gale had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - March 9, 2020
NUVEEN SECURITIES, LLC
April 24, 2006 - January 3, 2011
QUASAR DISTRIBUTORS, LLC
July 26, 2001 - February 7, 2006
STERNE, AGEE & LEACH, INC.
June 19, 2000 - April 30, 2001
REGIONS INVESTMENT COMPANY, INC.
April 9, 1999 - October 22, 1999
STERNE, AGEE & LEACH, INC.
May 3, 1989 - July 25, 1997
STRONG INVESTMENTS, 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
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
