Gary D. Giffen
Professional summary
Gary Douglas Giffen, who also goes by Gary Douglas Giffen, Gary Giffen, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in San Francisco, California.
Gary is registered as a RR (Registered Representative) and started their career in finance in 1996. Gary has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gary Douglas Giffen's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 12, 2023 - Present
NUVEEN SECURITIES, LLC
Office #1: 560 Mission Street, San Francisco, CA 94105September 27, 2019 - May 2, 2023
TRANSAMERICA INVESTORS SECURITIES, LLC
July 13, 2016 - September 24, 2019
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
April 20, 2009 - September 24, 2019
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
January 17, 2007 - April 23, 2009
NRP FINANCIAL, INC.
April 19, 2005 - November 30, 2006
FINANCIAL TELESIS INC
June 26, 2001 - February 28, 2005
PRINCIPAL SECURITIES, INC.
August 24, 2000 - April 30, 2001
NATIXIS DISTRIBUTION, LLC
January 30, 1996 - September 8, 2000
FIDELITY DISTRIBUTORS COMPANY 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
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Exams
FINRA
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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