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AG

Annette L. Gaston

Some features on this profile are disabled
CRD#: 5501054
AG

Professional summary

Annette L Gaston was a registered financial professional .

Annette is registered as a RR (Registered Representative) and started their career in finance in 2008. Annette had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

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®
None

Experience

Past

June 1, 2018 - October 1, 2024

PFM FUND DISTRIBUTORS, INC.

BD
CRD#: 114474
Tempe, AZ
Past

June 19, 2014 - September 12, 2017

MORGAN STANLEY

RIA
CRD#: 149777
PHOENIX, AZ
Past

January 29, 2013 - September 12, 2017

MORGAN STANLEY

BD
CRD#: 149777
PHOENIX, AZ
Past

August 24, 2012 - September 27, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SCOTTSDALE, AZ
Past

September 20, 2011 - September 4, 2012

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
SCOTTSDALE, AZ
Past

March 25, 2011 - August 23, 2011

INVESTMENT CENTERS OF AMERICA, INC.

BD
CRD#: 16443
SCOTTSDALE, AZ
Past

March 25, 2008 - April 14, 2009

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
PHOENIX, AZ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(10/1/2024)
RR
Nevada
(10/1/2024)
RR
New Mexico
(10/1/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/18/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/2/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/13/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/24/2008
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PFM FUND DISTRIBUTORS, INC.
PFM FUND DISTRIBUTORS, INC. | PFMAM, INC.

CRD#: 114474 / SEC#: , 8-53496

BD
Terminated by SEC on 12/06/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 07/16/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CLARK, SHANNON KEITHFINANCIAL & OPERATIONS PRINCIPAL5829700
WALTER, JEFFREY ADAMCHIEF COMPLIANCE OFFICER2143608

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.

Company Information

PFM FUND DISTRIBUTORS, INC.

CRD#: 114474

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