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SG

Stephen S. Gregory

SNOWBRIDGE SECURITIES LLC
Palm Beach Gardens, FL 33410
Some features on this profile are disabled
CRD#: 1017887
SG

Professional summary

Stephen Scott Gregory, who also goes by Scott Gregory, is a registered financial professional currently at SNOWBRIDGE SECURITIES LLC located in Palm Beach Gardens, Florida.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1981. Stephen has worked at 13 firms and has passed the Series 63, Series 62, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scott Gregory

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Scott Gregory's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 10, 2019 - Present

SNOWBRIDGE SECURITIES LLC

Office #1: 3801 Pga Blvd Suite 600, Palm Beach Gardens, FL 33410
BD
CRD#: 301996
Palm Beach Gardens, FL
Past

April 14, 2015 - September 10, 2019

DC ADVISORY

BD
CRD#: 129919
NEW YORK, NY
Past

February 14, 2012 - April 8, 2015

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
NEW YORK, NY
Past

March 22, 2011 - January 31, 2012

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
GREENWICH, CT
Past

June 1, 2010 - April 1, 2011

MALLORY CAPITAL GROUP, LLC

BD
CRD#: 108486
DARIEN, CT
Past

February 12, 2008 - May 8, 2009

ALLCAPITAL SECURITIES, LLC

BD
CRD#: 144397
NEW YORK, NY
Past

April 21, 2004 - September 19, 2006

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

April 21, 2004 - July 11, 2007

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
NEW YORK, NY
Past

July 22, 1998 - March 26, 2004

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, MA
Past

April 15, 1992 - November 12, 1997

GE CAPITAL MARKETS, INC.

BD
CRD#: 13349
NORWALK, CT
Past

July 17, 1987 - October 26, 1990

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 28, 1987 - August 4, 1987

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

November 3, 1981 - August 5, 1985

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Delaware
(1/2/2025)
RR
Illinois
(1/5/2021)
RR
Indiana
(12/13/2021)
RR
Michigan
(7/27/2020)
RR
Minnesota
(10/6/2022)
RR
New York
(4/9/2020)
RR
Ohio
(7/26/2020)
RR
Pennsylvania
(6/24/2020)
RR
Wisconsin
(7/7/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 7/14/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/17/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/9/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SNOWBRIDGE SECURITIES LLC
ROUNDHOUSE SECURITIES LLC | SNOWBRIDGE SECURITIES LLC

CRD#: 301996 / SEC#: , 8-70363

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
3801 Pga Boulevard Suite 600, Palm Beach Gardens, FL 33410
Mailing Address
3801 Pga Boulevard Suite 600, Palm Beach Gardens, FL 33410
Phone number
(212) 433-3904
Established
Delaware since 08/25/2021
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SNOWBRIDGE HOLDINGS LLCOWNER
PRINCE, TRISHA ANNECCO2941980
SCHROEDER, MARK JAMESCEO1969149
SIPINICK, KATHY EFREMFINOP3248100

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.

Company Information

SNOWBRIDGE SECURITIES LLC

CRD#: 301996Palm Beach Gardens, FL 33410

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