Marcy D. Tsagarakis
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.
Marcy Diane Tsagarakis, who also goes by Marcy Diane Gonzales, was a registered financial professional .
Marcy is a previously registered financial professional and started their career in finance in 1997. Marcy had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2001 - November 23, 2018
LORING WARD SECURITIES INC.
February 28, 1997 - June 26, 2001
E*TRADE SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LORING WARD SECURITIES INC.
CRD#: 46337 / SEC#: , 8-51381
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LORING WARD HOLDINGS INC. | SHAREHOLDER | |
| CLINTON, MICHAEL RAY | TREASURER & CHIEF FINANCIAL OFFICER | 2721577 |
| DJEU, DEBORAH DAPHNE | CHIEF COMPLIANCE OFFICER | 2530202 |
| LEE, HOWARD HOA | CHIEF OPERATING OFFICER | 4640471 |
| LIU, NAN | FINOP | 5275954 |
| POTTS, ALEXANDER BENNETT | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1765245 |
| WONG, RAYMOND YAT CHI | MUNICIPAL SECURITIES PRINCIPAL | 4537916 |
Red Flags
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