Timothy E. Gigliotti
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.
Timothy Edward Gigliotti, who also goes by Timothy E Gigliotti, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1995. Timothy had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2017 - May 4, 2021
NUVEEN SECURITIES, LLC
June 6, 2011 - February 24, 2017
TEACHERS PERSONAL INVESTORS SERVICES, INC.
April 10, 2009 - October 29, 2010
CAROLINA CAPITAL MARKETS, INC.
October 8, 2001 - April 1, 2009
BANC OF AMERICA SECURITIES LLC
January 26, 1999 - October 13, 2001
PNC CAPITAL MARKETS LLC
November 17, 1995 - November 23, 1998
BANC OF AMERICA SECURITIES 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
Series 7TO
Date: 3/17/2024
General Securities Representative ExaminationSeries 55
Date: 9/10/1999
Limited Representative-Equity Trader ExamCurrent 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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