Gregg M. Greenberg
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.
Gregg Michael Greenberg was a registered financial professional .
Gregg is a previously registered financial professional and started their career in finance in 1981. Gregg had worked at 8 firms and has passed the Series 63, Series 55, Series 7, Series 27, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2011 - May 2, 2013
HCC SECURITIES GROUP, INC
May 29, 2007 - March 25, 2009
WESTMINSTER SECURITIES CORPORATION
February 23, 1998 - June 13, 2008
GREENWOOD PARTNERS L.P.
August 21, 1995 - September 9, 1997
RICKEL & ASSOCIATES, INC.
June 18, 1993 - August 14, 1995
RYAN & COMPANY, LP
November 12, 1990 - April 14, 1993
KANE & COMPANY, INC.
November 24, 1982 - November 27, 1984
D. H. WALLACH, INC.
December 24, 1981 - October 28, 1982
L.C. WEGARD & CO., INC.
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
Series 55
Date: 10/3/2000
Limited Representative-Equity Trader ExamSeries 28
Date: 10/1/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
HCC SECURITIES GROUP, INC
CRD#: 16861 / SEC#: , 8-34645
Contact information
FINRA licenses (11 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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