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GC

Gregg D. Caplitz

Some features on this profile are disabled
CRD#: 1267058
GC

Professional summary

Gregg Darrell Caplitz was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gregg is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, Gregg had worked at 10 firms, which includes MSC - BD LLC, ALTERNATIVE WEALTH STRATEGIES INC., INSIGHT ONSITE FINANCIAL SOLUTIONS, WHARTON EQUITY CORPORATION, PACVEST ASSOCIATES INC., G.R. STUART & COMPANY INC., FINANCIAL SECURITIES NETWORKINC., LPL FINANCIAL LLC, LINSCO FINANCIAL GROUP INC., FORESTERS FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 13, 2013 - March 20, 2013

MSC - BD, LLC

BD
CRD#: 142927
LAKE OSWEGO, OR
Past

July 17, 2007 - February 24, 2011

ALTERNATIVE WEALTH STRATEGIES, INC.

BD
CRD#: 130933
WILMINGTON, MA
Past

July 15, 2005 - December 31, 2007

INSIGHT ONSITE FINANCIAL SOLUTIONS

RIA
CRD#: 107651
WOBURN, MA
Past

February 25, 2002 - July 16, 2007

WHARTON EQUITY CORPORATION

BD
CRD#: 10170
WOBURN, MA
Past

July 7, 1993 - February 21, 2002

PACVEST ASSOCIATES, INC.

BD
CRD#: 29583
WOODSTOCK, CT
Past

March 16, 1993 - July 22, 1993

G.R. STUART & COMPANY, INC.

BD
CRD#: 29101
MAYNARD, MA
Past

October 18, 1991 - March 16, 1993

FINANCIAL SECURITIES NETWORK,INC.

BD
CRD#: 16153
Past

December 16, 1989 - October 2, 1991

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

September 23, 1985 - December 16, 1989

LINSCO FINANCIAL GROUP, INC.

BD
CRD#: 524
Past

May 16, 1984 - October 2, 1985

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/17/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/17/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/1986
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 1/16/1986
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/15/1984
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/20/1987
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/7/1986
Investment Company Products/Variable Contracts Principal Examination

Current Firm

M-
MSC - BD, LLC
MCINTYRE INVESTMENTS, INC. | NAPLES AIS, INC. | MSC - BD, LLC

CRD#: 142927 / SEC#: , 8-67511

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
5 Centerpointe Drive Suite. 400, Lake Oswego, OR 97035
Mailing Address
5 Centerpointe Drive Suite 400, Lake Oswego, OR 97035
Phone number
(503) 515-1313
Established
Florida since 07/10/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MADISON STREET CAPITAL, LLCOWNER
BOTCHWAY, CHARLES OKAIPRESIDENT5752036
DIAMOS, ANTHONY SOLONFINOP/CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER4872899
MCINTYRE, PAUL JOSEPHCCO1002368

Disclosures

Regulatory Event1
Arbitration1

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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Company Information

MSC - BD, LLC

CRD#: 142927

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