Gloria J. Curling
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 Jovanna Curling was a registered financial professional .
Gloria is a previously registered financial professional and started their career in finance in 2003. Gloria had worked at 6 firms and has passed the Series 66, 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
July 5, 2018 - December 16, 2019
HAVEN MONEY
May 5, 2016 - August 25, 2016
MORGAN STANLEY
May 5, 2016 - August 25, 2016
MORGAN STANLEY
October 14, 2011 - February 12, 2016
CHARLES SCHWAB & CO., INC.
October 14, 2011 - February 12, 2016
CHARLES SCHWAB & CO., INC.
January 3, 2011 - September 21, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - September 21, 2011
WELLS FARGO CLEARING SERVICES, LLC
September 1, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 19, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
November 14, 2003 - March 5, 2004
PHD CAPITAL
State Registrations and Notice Filings
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Exams
Current Firm
HAVEN MONEY
CRD#: 288696 / SEC#: 801-110795
Contact information
Red Flags
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