Richard J. Gregory
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.
Richard Jackson Gregory was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 11 firms and has passed the Series 63, SIE, 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
October 6, 2017 - March 5, 2018
CUNA BROKERAGE SERVICES, INC.
March 18, 2014 - June 1, 2017
ONEAMERICA SECURITIES, INC.
July 24, 2002 - March 28, 2014
AVANTAX ADVISORY SERVICES
December 5, 1997 - March 28, 2014
AVANTAX INVESTMENT SERVICES, INC.
May 12, 1993 - December 9, 1997
VOYA FINANCIAL ADVISORS, INC.
November 6, 1991 - February 25, 1992
THE VARIABLE ANNUITY MARKETING COMPANY
September 25, 1986 - December 31, 1991
VOYA FINANCIAL ADVISORS, INC.
August 20, 1986 - May 13, 1997
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
August 23, 1985 - September 2, 1986
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 5, 1983 - August 5, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 1983 - August 5, 1985
AMERICAN EXPRESS FINANCIAL CORPORATION
July 19, 1983 - October 18, 1983
GREEN HILL FINANCIAL SERVICE CORPORATION
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
