Gregory J. Pocock
Professional summary
Gregory John Pocock was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gregory is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Gregory had worked at 4 firms, which includes AMERICAN FRONTEER FINANCIAL CORPORATION, F.N. WOLF & CO. INC., SHERWOOD CAPITAL INC., FIRST JERSEY SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 1994 - October 1, 1998
AMERICAN FRONTEER FINANCIAL CORPORATION
March 12, 1991 - July 21, 1994
F.N. WOLF & CO., INC.
May 16, 1988 - July 15, 1989
F.N. WOLF & CO., INC.
February 2, 1987 - May 18, 1988
SHERWOOD CAPITAL, INC.
November 24, 1982 - January 31, 1987
FIRST JERSEY SECURITIES, 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
Current Firm
AMERICAN FRONTEER FINANCIAL CORPORATION
CRD#: 1398 / SEC#: , 8-18200
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E-VISION USA.COM | SHAREHOLDER | |
| CHAN, TONGWAN | DIRECTOR AND MANAGING DIRECTOR OF CORPORATE FINANCE | 3011739 |
| COOK, GARY LYNN | CHIEF FINANCIAL OFFICER, DIRECTOR | 2735820 |
| FISHBEIN, STEVEN MICHAEL | DIRECTOR,VICE PRESIDENT & MANAGER TRADING DEPARTMENT | 843134 |
| HERRING, SARA FITZSIMMONS | DIRECTOR,VICE PRESIDENT OF COMPLIANCE | 1003754 |
| PADILLA, JOSE ANTONIO | DIRECTOR AND CHIEF OPERATING OFFICER | 1925223 |
| SALISBURY, JOANN ROBYN | SENIOR REGISTERED OPTIONS PRINCIPAL | 1037278 |
| TRAPP, ROBERT HERMAN | DIRECTOR AND PRESIDENT | 2246323 |
| ZUCKER, BRIAN FRED | DIRECTOR |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 19 |
Red Flags
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