DG
Deepinder K. Gill
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CRD#: 5184238
DG
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.
Deepinder K Gill, who also goes by Dee Gill, Deepinder Kaur Gill, Deepinder Gill, Dee Kaur, Deepan Kaur, Deepinder Kaur, was a registered financial professional .
Deepinder is a previously registered financial professional and started their career in finance in 2006. Deepinder had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dee Gill | Deepinder Kaur Gill | Deepinder Gill | Dee Kaur | Deepan Kaur | Deepinder Kaur
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
December 26, 2018 - January 30, 2019
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
SAN RAFAEL, CA
Past
December 26, 2018 - January 30, 2019
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SAN RAFAEL, CA
Past
December 21, 2016 - July 6, 2018
TD AMERITRADE, INC.
RIA
CRD#: 7870
WALNUT CREEK, CA
Past
December 21, 2016 - July 6, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Walnut Creek, CA
Past
December 21, 2016 - July 6, 2018
TD AMERITRADE, INC.
BD
CRD#: 7870
WALNUT CREEK, CA
Past
April 2, 2015 - December 20, 2016
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
FREMONT, CA
Past
March 31, 2015 - December 20, 2016
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
FREMONT, CA
Past
October 14, 2014 - March 11, 2015
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
DANVILLE, CA
Past
October 14, 2014 - March 11, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
DANVILLE, CA
Past
September 10, 2012 - July 25, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MENLO PARK, CA
Past
June 27, 2012 - July 25, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MENLO PARK, CA
Past
June 7, 2011 - September 28, 2011
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
WALNUT CREEK, CA
Past
September 22, 2010 - May 27, 2011
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
SAN RAMON, CA
Past
May 29, 2007 - May 5, 2010
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
December 11, 2006 - May 18, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
OAKLAND, CA
Past
December 11, 2006 - May 18, 2007
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
OAKLAND, CA
Past
October 4, 2006 - November 20, 2006
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
SAN RAMON, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CF
CUSO FINANCIAL SERVICES, L.P.
CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
RIA
Registered Investment Advisory firm - SEC (5/31/2001 Approved)Alaska
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)California
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/8/2001 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/2/2001 Terminated)Maryland
Registered Investment Advisory firm - SEC (6/11/2001 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/4/2001 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Nevada
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)New Jersey
Registered Investment Advisory firm - SEC (10/12/2006 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Tennessee
Registered Investment Advisory firm - SEC (7/6/2001 Terminated)Texas
Registered Investment Advisory firm - SEC (7/12/2001 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/7/2001 Terminated)Washington
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CF
CUSO FINANCIAL SERVICES, L.P.
CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
RIA
Registered Investment Advisory firm - SEC (5/31/2001 Approved)Alaska
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)California
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/8/2001 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/2/2001 Terminated)Maryland
Registered Investment Advisory firm - SEC (6/11/2001 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/4/2001 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Nevada
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)New Jersey
Registered Investment Advisory firm - SEC (10/12/2006 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Tennessee
Registered Investment Advisory firm - SEC (7/6/2001 Terminated)Texas
Registered Investment Advisory firm - SEC (7/12/2001 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/7/2001 Terminated)Washington
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
10150 Meanley Drive 1st Floor 1st Floor, San Diego, CA, 92131
Mailing Address
10150 Meanley Drive 1st Floor, San Diego, CA, 92131
Phone number
(858) 530-4400
Established
California since 11/07/1996
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
791
SEC notice filing (53 States and Territories)
FINRA licenses (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,354 |
| AUM (Assets Under Management) | $ 5,378,345,125 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
