Greg Riabov
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.
Greg Riabov, who also goes by Gregory Riabov, was a registered financial professional .
Greg is a previously registered financial professional and started their career in finance in 1985. Greg had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2014 - January 27, 2015
SCOTTRADE, INC.
June 19, 2002 - December 10, 2012
CHARLES SCHWAB & CO., INC.
November 5, 1996 - December 10, 2012
CHARLES SCHWAB & CO., INC.
April 2, 1996 - November 1, 1996
BERNARD HEROLD & CO., INC.
October 4, 1993 - March 4, 1996
ROBERT THOMAS SECURITIES, INC
February 26, 1993 - September 29, 1993
INDEPENDENT FINANCIAL SECURITIES, INC.
October 16, 1991 - November 30, 1992
CAL FED INVESTMENTS
October 1, 1990 - June 6, 1991
CADARET, GRANT & CO., INC.
January 4, 1989 - October 1, 1990
MARKETING ONE SECURITIES, INC.
July 13, 1988 - January 11, 1989
NEW ENGLAND SECURITIES
March 4, 1987 - July 21, 1988
WASHINGTON NATIONAL EQUITY COMPANY
September 25, 1985 - June 11, 1986
NORCAP 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
Series 8
Date: 8/28/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
