Gregory D. Adams
Professional summary
Gregory Donald Adams was barred by the SEC 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 2 firms, which includes KFS BD INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 1995 - September 1, 2000
KFS BD, INC.
December 21, 1982 - March 24, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 1/26/1983
Interest Rate Options ExaminationSeries 8
Date: 11/4/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KFS BD, INC.
CRD#: 490 / SEC#: , 8-2441
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 4 |
Red Flags
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