Christopher P. Gambino
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.
Christopher Patrick Gambino, who also goes by Chris Pat Gambino, Chris Patrick Gambino, Chris Gambino, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2000. Christopher had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2017 - May 2, 2018
TIGRESS FINANCIAL PARTNERS, LLC
March 15, 2016 - December 31, 2016
HARBOR LIGHT SECURITIES, LLC
January 17, 2013 - February 25, 2015
ROTH CAPITAL PARTNERS, LLC
January 17, 2013 - February 25, 2015
ROTH CAPITAL PARTNERS, LLC
June 21, 2007 - November 19, 2012
ADVANCED EQUITIES, INC.
June 21, 2007 - November 19, 2012
ADVANCED EQUITIES, INC.
April 4, 2006 - June 11, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 2006 - June 11, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 6, 2003 - February 14, 2006
GH TRADERS LLC
May 23, 2000 - June 27, 2002
DEUTSCHE IXE, LLC
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 55
Date: 7/11/2000
Limited Representative-Equity Trader ExamCurrent Firm
TIGRESS FINANCIAL PARTNERS, LLC
CRD#: 154717 / SEC#: 801-112815, 8-68671
Contact information
FINRA licenses (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17 |
| AUM (Assets Under Management) | $ 11,558,041 |
Disclosures
| Regulatory Event | 2 |
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.
