Gloria A. Brown Oliver
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.
Gloria A Brown Oliver, who also goes by Gloria Ann Brown, Gloria Brown Oliver, Gloria Brown- Oliver, Gloria Brown-oliver, Gloria Brown Oliver, Gloria Oliver, was a registered financial professional .
Gloria is a previously registered financial professional and started their career in finance in 2003. Gloria had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2019 - June 9, 2022
TD AMERITRADE, INC.
March 25, 2019 - June 9, 2022
TD AMERITRADE, INC.
November 15, 2010 - December 19, 2018
CHARLES SCHWAB & CO., INC.
November 15, 2010 - December 19, 2018
CHARLES SCHWAB & CO., INC.
March 27, 2009 - November 10, 2010
WADDELL & REED
March 27, 2009 - November 10, 2010
WADDELL & REED
March 19, 2003 - April 1, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 6, 2003 - April 1, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
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