Gina M. Zabric
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.
Gina M Zabric, who also goes by Gina Marie Cipollone, Gina Marie Marra, Gina Zabric, was a registered financial professional .
Gina is a previously registered financial professional and started their career in finance in 2003. Gina had worked at 9 firms and has passed the Series 65, Series 63, SIE, 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
April 27, 2022 - February 23, 2023
CHARLES SCHWAB & CO., INC.
January 31, 2022 - February 23, 2023
CHARLES SCHWAB & CO., INC.
December 5, 2016 - February 23, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 30, 2016 - October 14, 2022
TD AMERITRADE, INC.
November 29, 2016 - February 23, 2023
TD AMERITRADE, INC.
August 4, 2016 - September 13, 2016
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
July 19, 2016 - September 13, 2016
G.F. INVESTMENT SERVICES, LLC
October 14, 2013 - June 21, 2016
PNC WEALTH MANAGEMENT LLC
October 8, 2013 - June 21, 2016
PNC WEALTH MANAGEMENT LLC
February 27, 2013 - August 12, 2013
LPL FINANCIAL LLC
December 19, 2011 - August 12, 2013
LPL FINANCIAL LLC
November 4, 2005 - April 5, 2011
HSBC SECURITIES (USA) INC.
March 20, 2003 - October 28, 2004
M&T SECURITIES, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
