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TG

Teresa Ann Grueser

CRD# 2665243·Registered 2003 - 2012
Previously Registered: Being a previously registered professional could mean that Teresa 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.

Professional Summary

Teresa Ann Grueser, who also goes by Teresa Ann Christian, Teresa A Grueser, was a registered financial advisor. Teresa was a previously registered financial professional and started their career in finance 2003 - 2012. Teresa had worked at 2 firms and has passed the Series 7 exam.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Teresa Ann Christian, Teresa A Grueser

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

23 years registered in the securities industry

Current & Past Employments

Past

CAPITAL GUARDIAN, LLCPast·CRD# 137919
BD
Charlotte, NC
September 19, 2011 - April 24, 2012
TRUIST INVESTMENT SERVICES, INC.Past·CRD# 17499
BD
Mt. Pleasant, SC
June 23, 2003 - May 6, 2010

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Current Firm

CG
CAPITAL GUARDIAN, LLC

CAPITAL GUARDIAN, LLC

CRD#: 137919 / SEC#: 8-67133
BD
Terminated by SEC on 09/11/2017

Contact Information

Established

North Carolina since 02/15/2005

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL GUARDIAN HOLDING COMPANY, LLCOWNER—
FACELLA, STEPHEN RMD2912309
KARAFFA, JOHN EDWARDCHIEF FINANCIAL OFFICER4623625
RAMOS, SANDRO LOUISCCO INTERM1695283

Disclosures

Regulatory Event

5

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 7 — General Securities Representative Examination

Passed Jun 2003About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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