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CG

Chris P. Gambino

Some features on this profile are disabled
CRD#: 4129800
CG

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.

Chris Patrick Gambino, who also goes by Chris Pat Gambino, Chris Patrick Gambino, Christopher Patrick Gambino, was a registered financial professional .

Chris is a previously registered financial professional and started their career in finance in 2000. Chris had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Pat Gambino | Chris Patrick Gambino | Christopher Patrick Gambino

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 16, 2017 - May 2, 2018

TIGRESS FINANCIAL PARTNERS, LLC

BD
CRD#: 154717
NEW YORK, NY
Past

March 15, 2016 - December 31, 2016

HARBOR LIGHT SECURITIES, LLC

BD
CRD#: 130227
CHICAGO, IL
Past

January 17, 2013 - February 25, 2015

ROTH CAPITAL PARTNERS, LLC

RIA
CRD#: 15407
CHICAGO, IL
Past

January 17, 2013 - February 25, 2015

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
CHICAGO, IL
Past

June 21, 2007 - November 19, 2012

ADVANCED EQUITIES, INC.

RIA
CRD#: 35545
CHICAGO, IL
Past

June 21, 2007 - November 19, 2012

ADVANCED EQUITIES, INC.

BD
CRD#: 35545
CHICAGO, IL
Past

April 4, 2006 - June 11, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHICAGO, IL
Past

February 27, 2006 - June 11, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHICAGO, IL
Past

May 6, 2003 - February 14, 2006

GH TRADERS LLC

BD
CRD#: 36665
CHICAGO, IL
Past

May 23, 2000 - June 27, 2002

DEUTSCHE IXE, LLC

BD
CRD#: 7172
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/3/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/23/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 4/13/2006
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 55
Date: 7/11/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/22/2000
General Securities Representative Examination

Current Firm

TF
TIGRESS FINANCIAL PARTNERS, LLC
TIGRESS FINANCIAL PARTNERS LLC | TIGRESS FINANCIAL PARTNERS, LLC

CRD#: 154717 / SEC#: 801-112815, 8-68671

RIA
Registered Investment Advisory firm - SEC (2/21/2024 Terminated)
Florida
Registered Investment Advisory firm - SEC (7/2/2025 Approved)
New York
Registered Investment Advisory firm - SEC (4/27/2018 Terminated)
Texas
Registered Investment Advisory firm - SEC (11/15/2023 Conditional Restricted)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
410 Park Avenue 12th Floor, New York, NY 10022
Mailing Address
410 Park Avenue 12th Floor, New York, NY 10022
Phone number
(212) 430-8750
Established
Delaware since 05/26/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
5

FINRA licenses (35 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TIGRESS HOLDINGS LLCMAJORITY OWNER
CHEN, CHIASHIN NMNCHIEF COMPLIANCE OFFICER2992660
DIBARTOLO, CYNTHIA DENISECHIEF EXECUTIVE OFFICER2413494
MARRONE, MICHAEL THOMASPRINCIPAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER/FINOP4859949

Regulatory assets under management

Total Number of Accounts17
AUM (Assets Under Management)$ 11,558,041

Disclosures

Regulatory Event2

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.

Company Information

TIGRESS FINANCIAL PARTNERS, LLC

CRD#: 154717

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