Connie S. Gardner
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.
Connie Scarboro Gardner was a registered financial professional .
Connie is a previously registered financial professional and started their career in finance in 1998. Connie had worked at 4 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 7, Series 53, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2007 - March 18, 2009
IRONSTONE SECURITIES, INC.
July 5, 2007 - March 18, 2009
IRONSTONE SECURITIES, INC.
January 22, 2007 - June 15, 2026
FIRST CITIZENS INVESTOR SERVICES, INC.
January 22, 2007 - June 15, 2026
FIRST CITIZENS INVESTOR SERVICES, INC.
October 20, 2006 - February 2, 2007
RBC CAPITAL MARKETS, LLC
October 20, 2006 - February 2, 2007
RBC CAPITAL MARKETS, LLC
December 31, 2001 - October 20, 2006
JBS LIBERTY SECURITIES, INC.
February 3, 1998 - December 31, 2006
JBS LIBERTY 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 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
IRONSTONE SECURITIES, INC.
CRD#: 130335 / SEC#: , 8-66333
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST CITIZENS BANK & TRUST COMPANY | 100% OWNER | |
| BLACK, KENNETH ALEXANDER | DIRECTOR | 2989066 |
| BOGACZYK, STEVEN FRED | CFO, DIRECTOR | 2469749 |
| CREEKMAN, JAMES ERVIN | DIRECTOR | 2989069 |
| HOLDING, FRANK BROWN JR | DIRECTOR | 2989068 |
| JONES, HIRAM RAMSEY II | PRESIDENT | 1876061 |
| LOWMAN, LAWRENCE MINETREE | DIRECTOR OF COMPLIANCE; CHIEF COMPLIANCE OFFICER | 1642166 |
| YOCHEM, CAROL BLADE | DIRECTOR | 1254414 |
Red Flags
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