Gregory J. Troccoli
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 J Troccoli, who also goes by Gregory John Troccoli, was a registered financial advisor .
Gregory is a previously registered financial advisor and started their career in finance in 1984. Gregory had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2021 - July 22, 2022
NATIONAL SECURITIES CORPORATION
July 29, 2020 - May 2, 2023
B. RILEY WEALTH MANAGEMENT
December 27, 2009 - January 21, 2011
DWS DISTRIBUTORS, INC.
April 10, 2007 - July 8, 2008
BEAR STEARNS ASSET MANAGEMENT INC.
August 3, 2006 - July 8, 2008
J.P. MORGAN SECURITIES LLC
January 8, 2003 - May 27, 2003
NEWEDGE USA, LLC
November 27, 1984 - December 6, 2001
PRUDENTIAL EQUITY GROUP, 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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
