Gregory L. Kesten
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 Leo Kesten was a registered financial advisor .
Gregory is a previously registered financial advisor and started their career in finance in 1983. Gregory had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 22 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
April 6, 2009 - June 21, 2010
TRIBECA ADVISORS, LLC
March 7, 2008 - November 4, 2009
TRIBECA FINANCIAL, LLC
July 3, 1996 - November 30, 2001
CETERA WEALTH SERVICES, LLC
April 7, 1994 - September 5, 1995
OMNI BROKERAGE, INC.
July 28, 1993 - December 21, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 15, 1992 - August 11, 1993
OMNI BROKERAGE, INC.
October 17, 1991 - January 6, 1992
CETERA WEALTH SERVICES, LLC
January 29, 1991 - July 1, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 29, 1991 - July 1, 1991
PRUCO SECURITIES, LLC.
May 29, 1990 - February 5, 1991
CETERA WEALTH SERVICES, LLC
January 4, 1983 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
January 4, 1983 - May 29, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
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
No current employment
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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