Roy L. Gregory
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.
Roy Leon Gregory III, who also goes by Roy Leon Gregory, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1982. Roy had worked at 7 firms and has passed the Series 63, SIE, Series 7 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
February 4, 2016 - December 31, 2017
ROY GREGORY INVESTMENTS, LLC
January 8, 2007 - October 21, 2015
VOYA FINANCIAL ADVISORS, INC.
January 6, 1994 - December 31, 2006
COMMONWEALTH FINANCIAL NETWORK
April 17, 1990 - December 31, 1993
E. T. ANDREWS & CO., INC.
February 1, 1989 - May 10, 1990
LEHMAN BROTHERS INC.
December 9, 1985 - February 8, 1989
UBS FINANCIAL SERVICES INC.
March 2, 1982 - December 13, 1985
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Exams
Current Firm
ROY GREGORY INVESTMENTS, LLC
CRD#: 282398 / SEC#:
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
