Regina Quigley, financial advisor San Mateo CA
83 score

Regina Quigley

CRD Number: 1122069
Current Firm: Td Ameritrade, Inc.

Regina Quigley (CRD# 1122069) is an Investment Advisor Representative working at Td Ameritrade, Inc. in San Mateo, CA and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
T.d. Ameritrade Campbell, CA Dec 2011 - Current 5
Unemployed San Mateo, CA Aug 2011 - Dec 2011 < 1
Charles Schwab Bank San Mateo, CA Jun 2005 - Aug 2011 6
Charles Schwab & Company, Inc. San Mateo, CA Nov 2000 - Aug 2011 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1983
S66 NASAA Uniform Combined State Law Examination Jun 2005
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Regina D. Quigley
Phone Number: (800) 669-3900
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Other
Advisory Services Offered
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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