Christine E. Gaze
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.
Christine Elizabeth Gaze, CFP®, CIMA®, who also goes by Christine E Gaze, was a registered financial professional .
Christine is a previously registered financial professional and started their career in finance in 1996. Christine had worked at 7 firms and has passed the Series 65, Series 63, 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
April 12, 2012 - January 27, 2014
TD AMERITRADE, INC.
September 9, 2010 - January 27, 2012
MORGAN STANLEY
August 31, 2005 - October 20, 2008
ALLIANCEBERNSTEIN INVESTMENTS, INC.
July 29, 2004 - August 26, 2005
WELLS FARGO CLEARING SERVICES, LLC
February 26, 2003 - December 31, 2003
PRUCO SECURITIES, LLC.
July 18, 2000 - November 1, 2001
PRUDENTIAL EQUITY GROUP, LLC
June 20, 1996 - March 26, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
