Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Regina? Claim Your ProfileRegina Gal is a registered representative with Axos Clearing LLC. Regina holds the Series 7TO, Series 63 and SIE licenses. Regina has been in the securities industry for more than 1 year and is based in Centennial, CO. Prior to her current position, Regina was employed at E*TRADE SECURITIES LLC in Centennial, CO.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
CO
08/24/2021 - Present
Axos Clearing LLC (CENTENNIAL CO)
CO
11/05/2019 - 12/31/2020
E*TRADE SECURITIES LLC (Centennial CO)
BC
Issued 12/16/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/05/2019
Series 7TO - General Securities Representative Examination
BC
Issued 08/26/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BZX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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