Gino N. Steffe
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.
Gino Nicolas Steffe was a registered financial professional .
Gino is a previously registered financial professional and started their career in finance in 2017. Gino had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2018 - September 3, 2019
TD AMERITRADE, INC.
November 28, 2018 - September 3, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 28, 2018 - September 3, 2019
TD AMERITRADE, INC.
July 25, 2017 - November 7, 2018
HARRISDIRECT LLC
May 16, 2017 - November 7, 2018
E*TRADE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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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