Jesse A. Rangel
Professional summary
Jesse Adam Rangel was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jesse is a previously registered financial professional and started their career in finance in 2017. Prior to being barred, Jesse had worked at 3 firms, which includes TD AMERITRADE INC., TD AMERITRADE INVESTMENT MANAGEMENT LLC, MORGAN STANLEY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2019 - April 8, 2019
TD AMERITRADE, INC.
January 2, 2019 - April 8, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 2, 2019 - April 8, 2019
TD AMERITRADE, INC.
April 27, 2017 - September 26, 2018
MORGAN STANLEY
March 30, 2017 - September 26, 2018
MORGAN STANLEY
State Registrations and Notice Filings
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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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