CG
Caroline B. Gaynor
AMERICAN CENTURY INVESTMENT SERVICES
New York, NY 10017
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CRD#: 5820023
CG
Professional summary
Caroline Brookes Gaynor is a registered financial professional currently at AMERICAN CENTURY INVESTMENT SERVICES INC. located in New York, New York.
Caroline is registered as a RR (Registered Representative) and started their career in finance in 2014. Caroline has worked at 2 firms and has passed the Series 66, SIE and Series 7 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.
CRS (Client Relationship Summary) - BD
Click below to view Caroline Brookes Gaynor's CRS (Customer Relationship Summary).
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
Current
February 26, 2021 - Present
AMERICAN CENTURY INVESTMENT SERVICES INC.
Office #1: 330 Madison, New York, NY 10017BD
CRD#: 17437
New York, NY
Past
December 22, 2014 - February 8, 2021
DFA SECURITIES LLC
BD
CRD#: 10292
CHARLOTTE, NC
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
Alabama(2/26/2021)
RR
Alaska(2/26/2021)
RR
Arizona(2/26/2021)
RR
Arkansas(2/26/2021)
RR
California(2/26/2021)
RR
Colorado(2/26/2021)
RR
Connecticut(2/26/2021)
RR
Delaware(2/26/2021)
RR
District of Columbia(2/26/2021)
RR
Florida(2/26/2021)
RR
Georgia(2/26/2021)
RR
Hawaii(2/26/2021)
RR
Idaho(2/26/2021)
RR
Illinois(2/26/2021)
RR
Indiana(2/26/2021)
RR
Iowa(2/26/2021)
RR
Kansas(2/26/2021)
RR
Kentucky(2/26/2021)
RR
Louisiana(2/26/2021)
RR
Maine(2/26/2021)
RR
Maryland(2/26/2021)
RR
Massachusetts(2/26/2021)
RR
Michigan(2/26/2021)
RR
Minnesota(2/26/2021)
RR
Mississippi(2/26/2021)
RR
Missouri(2/26/2021)
RR
Montana(2/26/2021)
RR
Nebraska(2/26/2021)
RR
Nevada(2/26/2021)
RR
New Hampshire(2/26/2021)
RR
New Jersey(2/26/2021)
RR
New Mexico(2/26/2021)
RR
New York(2/26/2021)
RR
North Carolina(2/26/2021)
RR
North Dakota(2/26/2021)
RR
Ohio(3/1/2021)
RR
Oklahoma(2/26/2021)
RR
Oregon(2/26/2021)
RR
Pennsylvania(2/26/2021)
RR
Rhode Island(2/26/2021)
RR
South Carolina(2/26/2021)
RR
South Dakota(2/26/2021)
RR
Tennessee(2/26/2021)
RR
Texas(2/26/2021)
RR
Utah(2/26/2021)
RR
Vermont(2/26/2021)
RR
Virginia(2/26/2021)
RR
Washington(2/26/2021)
RR
West Virginia(2/26/2021)
RR
Wisconsin(2/26/2021)
RR
Wyoming(2/26/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AC
AMERICAN CENTURY INVESTMENT SERVICES INC.
AMERICAN CENTURY BROKERAGE | TWENTIETH CENTURY SECURITIES, INC. | PLAZA SECURITIES CORPORATION | AMERICAN CENTURY INVESTMENT SERVICES, INC. | AMERICAN CENTURY INVESTMENT SERVICES INC.
CRD#: 17437 / SEC#: , 8-35220
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
4500 Main Street, Kansas City, MO 64111
Mailing Address
P.o. Box 410141, Kansas City, MO 64141-0141
Phone number
(800) 345-2021
Established
Missouri since 04/18/1962
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN CENTURY COMPANIES, INC. | PARENT COMPANY | |
| LUCHINSKY, RICHARD TODD | SVP, PRESIDENT | 2065489 |
| PAK, JOHN DONGJIN | CLO | 3226458 |
| REDLINE, CHERYL LOUISE | TREASURER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5371811 |
| SCHAPPERT, BRIAN JOSEPH | SVP, DIRECTOR | 5362490 |
| SHELTON, AMY DIANE | CCO | 2556023 |
| SMITH, RICHARD ANDREW | SVP, DIRECTOR | 6109979 |
| TURNER, MICHAEL RYAN | DIRECTOR | 5469914 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
