Grisel Saez
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.
Grisel Saez, who also goes by Grisel Giles, Traynor Saez, Grisel Saez-traynor, Grisel Traynor, was a registered financial advisor .
Grisel is a previously registered financial advisor and started their career in finance in 2002. Grisel had worked at 9 firms and has passed the Series 65, Series 63, 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
March 30, 2012 - November 16, 2012
TD AMERITRADE, INC.
March 30, 2012 - November 16, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 30, 2012 - November 16, 2012
TD AMERITRADE, INC.
May 22, 2009 - October 21, 2011
TD AMERITRADE, INC.
May 22, 2009 - October 21, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 22, 2009 - October 21, 2011
TD AMERITRADE, INC.
November 4, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 19, 2008 - September 12, 2008
MSI FINANCIAL SERVICES, INC.
July 9, 2007 - September 6, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
September 7, 2006 - June 28, 2007
FORESTERS EQUITY SERVICES, INC.
October 3, 2005 - May 9, 2006
CUSO FINANCIAL SERVICES, L.P.
April 25, 2003 - October 3, 2005
FORESTERS EQUITY SERVICES, INC.
August 23, 2002 - June 4, 2003
NATIONAL PLANNING CORPORATION
January 23, 2002 - August 20, 2002
CAL FED INVESTMENTS
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
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
