James P. Gawrych
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.
James Peter Gawrych, who also goes by James P Gawrych, James P. Gawyrch, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2009. James had worked at 4 firms and has passed the Series 66, 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 20, 2012 - September 26, 2017
TD AMERITRADE, INC.
April 20, 2012 - September 26, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 20, 2012 - September 26, 2017
TD AMERITRADE, INC.
August 10, 2010 - April 17, 2012
FIDELITY BROKERAGE SERVICES LLC
March 5, 2009 - June 22, 2010
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
State Registrations and Notice Filings
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
