Nora E. Gay
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.
Nora Ellen Gay, who also goes by Nora Ellen Bradley, Nora Ellen Curham, Nora Ellen Durham, Nora Durham, Nora Ellen Gay, Nora Gay, was a registered financial professional .
Nora is a previously registered financial professional and started their career in finance in 1980. Nora had worked at 6 firms and has passed the Series 66, Series 63 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
September 9, 2011 - December 31, 2012
BALDWIN ANTHONY SECURITIES, INC.
August 29, 2007 - October 5, 2009
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
March 23, 2005 - July 19, 2007
STANFORD GROUP COMPANY
March 23, 2005 - July 19, 2007
STANFORD GROUP COMPANY
August 18, 2003 - March 21, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 18, 2003 - March 21, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 12, 2002 - August 20, 2003
BANC OF AMERICA SECURITIES LLC
January 2, 1980 - October 11, 2001
CITIGROUP GLOBAL MARKETS INC.
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
BALDWIN ANTHONY SECURITIES, INC.
CRD#: 45108 / SEC#: , 8-50981
Contact information
Documents
Disclosures
| Regulatory Event | 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.
