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Information

Other Names: Tad Gygi
Firm: No Current Employment Listed
Description

This advisor is no longer actively registered. Their most recent registration with Wbb Securities, LLC ended in October 11, 2012.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Tad Ralph Gygi has not answered any questions on Financial Q&A.

Top Guides

Tad Ralph Gygi has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

No client types listed.

Experience and Employment History

Employer Years Dates
Mml Investors Services, Inc. 13 years, 10 months Mar 1996 - Jan 2010
Intermountain Financial Group 19 years, 5 months Aug 1990 - Jan 2010
Connecticut Mutual Life Ins Co 19 years, 7 months Jun 1990 - Jan 2010
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 10/11/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Not registered
Not registered
Disclosures

2 Customer Disputes

2 Customer Disputes

1 Final Judgment

1 Financial Disclosure Pending

As of Date
10/11/2012
09/15/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 11/05/1993
Uniform Securities Agent State Law Examination Series 63 08/06/1990
Investment Company Products/Variable Contracts Representative Examination Series 6 07/16/1990

Firm Compensation Arrangements

help text

No compensation arrangements listed.