Clyde W. Gregory
Professional summary
Clyde Wayne Gregory was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Clyde is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Clyde had worked at 3 firms, which includes CONCOURSE FINANCIAL GROUP SECURITIES INC., MARKETING ONE SECURITIES INC., FORESTERS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 1989 - December 19, 1997
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 11, 1988 - May 4, 1989
MARKETING ONE SECURITIES, INC.
December 23, 1983 - October 13, 1987
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
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