James M. Gregg
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.
James Michael Gregg was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 4 firms and has passed the Series 7, Series 3, Series 10, Series 9, Series 24, Series 4, Series 14 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 12, 2002 - May 29, 2002
P.R. BURKE & CO., INC.
October 1, 1997 - August 10, 1998
MOORS & CABOT, INC.
January 4, 1995 - January 6, 1998
INDEPENDENCE INSTITUTIONAL SECURITIES & COMPANY, L.P.
February 26, 1985 - February 17, 2002
P.R. BURKE & CO., INC.
August 23, 1983 - January 21, 1985
CIBC WORLD MARKETS CORP.
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: 3/3/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
P.R. BURKE & CO., INC.
CRD#: 13558 / SEC#: , 8-28509
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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