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TG

Thomas J. Gregg

SEAPORT SECURITIES
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 1089168
TG

Professional summary

Thomas Joseph Gregg is a registered financial professional currently at SEAPORT SECURITIES CORP. located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1983. Thomas has worked at 6 firms and has passed the Series 63, Series 99TO, Series 7TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Joseph Gregg's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 5, 2025 - Present

SEAPORT SECURITIES CORP.

Office #1: 60 Broad Street, New York, NY 10004
BD
CRD#: 8330
NEW YORK, NY
Past

May 31, 2002 - November 13, 2024

SEAPORT SECURITIES CORP.

BD
CRD#: 8330
NEW YORK, NY
Past

October 1, 1997 - August 10, 1998

MOORS & CABOT, INC.

BD
CRD#: 594
BOSTON, MA
Past

January 4, 1995 - January 6, 1998

INDEPENDENCE INSTITUTIONAL SECURITIES & COMPANY, L.P.

BD
CRD#: 36843
MIDDLEBURG, VA
Past

October 30, 1992 - May 29, 2002

P.R. BURKE & CO., INC.

BD
CRD#: 13558
NEW YORK, NY
Past

January 29, 1987 - October 11, 1990

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

January 19, 1983 - February 11, 1987

LEHMAN BROTHERS INC.

BD
CRD#: 7506

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(6/5/2025)
RR
Colorado
(6/5/2025)
RR
Connecticut
(6/5/2025)
RR
Florida
(6/5/2025)
RR
Maryland
(6/5/2025)
RR
Massachusetts
(6/5/2025)
RR
Michigan
(6/5/2025)
RR
New Jersey
(6/5/2025)
RR
New York
(6/5/2025)
RR
Pennsylvania
(6/5/2025)
RR
Texas
(6/5/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/28/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/21/2010
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/15/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 2/27/2002
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 10
Date: 2/3/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/3/2000
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

SS
SEAPORT SECURITIES CORP.
SEAPORT SECURITIES CORP.

CRD#: 8330 / SEC#: , 8-24971

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
60 Broad Street, New York, NY 10004
Mailing Address
60 Broad Street, New York, NY 10004
Phone number
(212) 482-8689
Established
New York since 03/06/1980
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (45 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEISBERG, THEODORE PAULPRESIDENT1485848
WEISBERG, THEODORE PAULCFO/PFO
ZOLDAN, DEBBIE SUECHIEF COMPLIANCE OFFICER AND POO

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

SEAPORT SECURITIES CORP.

CRD#: 8330New York, NY 10004

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