Gary S. Tunnicliffe
Professional summary
Gary Steven Tunnicliffe was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gary is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Gary had worked at 4 firms, which includes USALLIANZ SECURITIES INC., LOCUST STREET SECURITIES INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2000 - April 25, 2003
USALLIANZ SECURITIES, INC.
August 30, 2000 - December 14, 2000
LOCUST STREET SECURITIES, INC.
June 14, 1997 - July 7, 2000
METROPOLITAN LIFE INSURANCE COMPANY
June 14, 1997 - July 7, 2000
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
USALLIANZ SECURITIES, INC.
CRD#: 40875 / SEC#: , 8-49216
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | SHAREHOLDER | |
| HOWELL, RUTH ANNETTE | CHIEF COMPLIANCE OFFICER, COMPLIANCE REGISTERED OPTIONS PRINCIPAL | |
| INGERSOLL, THADDEUS WINTHROP III | COMPLIANCE MANAGER, SENIOR REGISTERED OPTIONS PRINCIPAL | 2616975 |
| JORGENSEN, MICHAEL JAMES | PRESIDENT | 2676329 |
| REITAN, EMILY SUZANNE | CHIEF FINANCIAL OFFICER & TREASURER | 5209812 |
| VITIELLO, VINCENT GERARD | CHAIRMAN OF THE BOARD | 1059845 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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