Esther M. Gale
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.
Esther Marquez Gale, who also goes by Esther Apus Marquez, was a registered financial professional .
Esther is a previously registered financial professional and started their career in finance in 1989. Esther had worked at 6 firms and has passed the Series 63, Series 6 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
October 13, 2009 - August 8, 2012
QUEST CAPITAL STRATEGIES, INC.
April 2, 2007 - August 7, 2008
SCF SECURITIES, INC.
May 10, 2005 - January 12, 2006
OSAIC WEALTH, INC.
March 13, 2003 - March 21, 2005
CENTAURUS FINANCIAL, INC.
September 4, 1997 - December 6, 2002
VOYA FINANCIAL ADVISORS, INC.
August 22, 1989 - September 5, 1997
WOODBURY FINANCIAL 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
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
