Sonya D. Gaby
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.
Sonya Denise Gaby, who also goes by Sonny Beasley, Sonya Denise Beasley, was a registered financial professional .
Sonya is a previously registered financial professional and started their career in finance in 1998. Sonya had worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2019 - April 1, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 10, 2015 - September 30, 2019
EVERENCE TRUST COMPANY
February 13, 2015 - December 31, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 7, 2011 - December 31, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 22, 1998 - October 3, 2000
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
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: 3/30/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/30/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
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.
