Gregory M. Ciccone
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.
Gregory Michael Ciccone was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1982. Gregory had worked at 13 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2020 - December 31, 2022
PURSHE KAPLAN STERLING INVESTMENTS
January 4, 2011 - July 15, 2020
BROADSTONE SECURITIES
December 1, 2005 - July 9, 2010
CITIZENS SECURITIES, INC.
March 15, 1999 - December 1, 2005
CHARTER ONE SECURITIES, INC.
July 12, 1996 - March 15, 1999
LOCUST STREET SECURITIES, INC.
May 26, 1995 - July 1, 1996
CAL FED INVESTMENTS
June 29, 1992 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
March 28, 1990 - June 27, 1990
FIRST OF MICHIGAN CORPORATION
February 27, 1989 - March 26, 1990
UBS FINANCIAL SERVICES INC.
February 15, 1988 - March 16, 1989
LEHMAN BROTHERS INC.
October 20, 1986 - February 15, 1988
E. F. HUTTON & COMPANY INC
July 26, 1984 - October 10, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 30, 1982 - November 23, 1984
METROPOLITAN LIFE INSURANCE COMPANY
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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