Gregory P. Cicotte
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 Philip Cicotte was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1984. Gregory had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2016 - June 25, 2018
SII INVESTMENTS, INC.
March 21, 2016 - June 25, 2018
NATIONAL PLANNING CORPORATION
March 21, 2016 - June 25, 2018
INVESTMENT CENTERS OF AMERICA, INC.
March 21, 2016 - June 25, 2018
INVEST FINANCIAL CORPORATION
March 21, 2016 - August 27, 2018
SII INVESTMENTS, INC.
March 21, 2016 - August 27, 2018
NATIONAL PLANNING CORPORATION
March 21, 2016 - August 27, 2018
INVESTMENT CENTERS OF AMERICA, INC.
March 21, 2016 - August 27, 2018
INVEST FINANCIAL CORPORATION
October 6, 2014 - March 30, 2016
CURIAN CAPITAL, LLC
October 31, 2012 - January 7, 2013
SL DISTRIBUTORS, INC.
January 3, 2002 - December 6, 2019
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
September 25, 1992 - December 31, 2004
NATIONAL PLANNING CORPORATION
July 27, 1987 - March 6, 1989
ILG SECURITIES CORPORATION
April 17, 1984 - July 22, 1987
PFS INVESTMENTS 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
Current Firm
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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