Grace D. Gwin
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.
Grace Dalton Gwin, who also goes by Grace Dalton Clem, Grace Dalton, was a registered financial professional .
Grace is a previously registered financial professional and started their career in finance in 1979. Grace had worked at 4 firms and has passed the Series 65, 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
March 16, 2005 - January 6, 2014
INTL ADVISORY CONSULTANTS INC.
March 2, 2001 - January 6, 2014
STERNE, AGEE & LEACH, INC.
April 10, 1995 - March 20, 2001
LEGG MASON WOOD WALKER, INCORPORATED
December 21, 1979 - March 15, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
INTL ADVISORY CONSULTANTS INC.
CRD#: 130888 / SEC#: 801-63297
Contact information
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.
