Callie Gauzer
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.
Callie Gauzer, who also goes by Callie J Gauzer, was a registered financial professional .
Callie is a previously registered financial professional and started their career in finance in 2001. Callie had worked at 5 firms and has passed the Series 63, SIE 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
March 9, 2021 - November 17, 2021
LIVINGSTON SECURITIES, LLC
October 11, 2017 - July 9, 2019
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
August 4, 2015 - January 26, 2017
IRC SECURITIES LLC
October 18, 2013 - January 23, 2014
IRC SECURITIES LLC
July 28, 2011 - February 28, 2013
SCOTIA CAPITAL (USA) INC.
July 20, 2001 - September 27, 2001
BARRY MURPHY & COMPANY, 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
Current Firm
LIVINGSTON SECURITIES, LLC
CRD#: 147364 / SEC#: , 8-67901
Contact information
FINRA licenses (38 States and Territories)
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.
